easy access rules for airworthiness and environmental certification regulation eu no 7482012 - may 2022 - final

Easy Access Rules for Airworthiness and
Environmental Certification (Regulation (EU)
No 748/2012)
EASA eRules: aviation rules for the 21st century
Rules are the core of the EU civil aviation system. The aim of the EASA eRules project is to make them
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The Easy Access Rules (EAR) are the output of the eRules project. They are consolidated versions of
those rules, combining EU regulations with EASA certification specifications (CSs), acceptable means
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Published May 20221
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Easy Access Rules for Airworthiness and
Environmental Certification (Regulation (EU)
No 748/2012)
Disclaimer
DISCLAIMER
This version is issued by the European Union Aviation Safety Agency (EASA, referred to as both ‘EASA’
and ‘the Agency’) in order to provide its stakeholders with an updated, consolidated, and easy-to-read
publication. It has been prepared by putting together the officially published regulations (including
the amendments) adopted so far. However, this is not an official publication and EASA accepts no
liability for damage of any kind resulting from the risks inherent in the use of this document.
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Easy Access Rules for Airworthiness and
Environmental Certification (Regulation (EU)
No 748/2012)
List of revisions
LIST OF REVISIONS
Published
Reason for revision
February 2018
First Easy Access Rules document powered by eRules.
To incorporate ED Decision 2019/003/R introducing AMC/GM to Annex I (Part-21)
to Regulation (EU) No 748/2012 for proportionality and simplification of
airworthiness and environmental certification regulations for small aircraft.
December 2019
June 2020
November 2020
March 2021
September 2021
To incorporate Commission Delegated Regulation (EU) 2019/897 of 12 March 2019
amending Regulation (EU) No 748/2012 as regards the inclusion of risk-based
compliance verification in Annex I (Part 21) thereto and the implementation of
requirements for environmental protection, and
the associated ED Decision 2019/018/R amending the AMC and GM to Part 21 —
Issue 2, Amendment 9.
To incorporate Commission Delegated Regulation (EU) 2020/570 of 28 January 2020
amending and correcting Regulation (EU) No 748/2012 as regards the alignment of
rules for continuing airworthiness of aircraft and aeronautical products, parts and
appliances with Regulation (EU) No 1321/2014.
To incorporate ED Decision 2020/006/R amending the AMC and GM to Part 21 —
Issue 2, Amendment 10, as regards ‘Aircraft cybersecurity’.
To incorporate ED Decision 2021/001/R amending the AMC and GM to Annex I
(Part 21) — Issue 2, Amendment 11.
To incorporate the following:
— Commission Delegated Regulation (EU) 2021/699 of 21 December 2020
amending and correcting Regulation (EU) No 748/2012 as regards the
instructions for continued airworthiness, the production of parts to be used
during maintenance and the consideration of ageing aircraft aspects during
certification, as well as ED Decision 2021/007/R issuing Amendment 12 to Issue
2 of the AMC and GM to Part 21 to support the implementation of the
amendments introduced in Part 21 through Regulation (EU) 2021/699;
— Commission Delegated Regulation (EU) 2021/1088 of 7 April 2021 amending
Regulation (EU) No 748/2012 as regards updating the references to the
environmental protection requirements, as well as ED Decision 2021/011/R
issuing Amendment 13 to Issue 2 of the AMC and GM to Part 21 to support the
application of Regulation (EU) 2021/1087 amending Article 9(2) of Regulation
(EU) 2018/1139 and the application of Regulation (EU) 2021/1088; and
— the Corrigendum to Decision 2021/011/R to correct errors in references and
listings and change the order of some text in the AMC and GM to Part 21.
May 2022
To incorporate the following:
— Commission Delegated Regulation (EU) 2022/201 of 10 December 2021
amending Regulation (EU) No 748/2012 as regards management systems and
occurrence-reporting systems to be established by design and production
organisations, as well as procedures applied by the Agency, and correcting that
Regulation;
— Commission Implementing Regulation (EU) 2022/203 of 14 February 2022
amending Regulation (EU) No 748/2012 as regards management systems and
occurrence-reporting systems to be established by competent authorities, and
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Easy Access Rules for Airworthiness and
Environmental Certification (Regulation (EU)
No 748/2012)
List of revisions
correcting Regulation (EU) No 748/2012 as regards the issuance of
airworthiness review certificates.
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Easy Access Rules for Airworthiness and
Environmental Certification (Regulation (EU)
No 748/2012)
Note from the editor
NOTE FROM THE EDITOR
The content of this document is arranged as follows: the cover regulation (recitals and articles) of the
implementing rule (IR) appear first, then the IR annex points, followed by the related acceptable
means of compliance (AMC) and guidance material (GM) paragraph(s).
All elements (i.e. cover regulation, IR annex, AMC, and GM) are colour-coded and can be identified
according to the illustration below. The Commission regulation or EASA Executive Director (ED)
decision through which the point or paragraph was introduced or last amended is indicated below the
point or paragraph title(s) in italics.
Cover regulation article
Commission regulation
Implementing rule annex
Commission regulation
Acceptable means of compliance
ED decision
Guidance material
ED decision
Note: Amendments introduced by Regulation (EU) 2022/201 and Regulation (EU) 2022/203 with the
applicability date in the future are marked with a different colour with the respective applicability date.
This document will be updated regularly to incorporate further amendments.
The format of this document has been adjusted to make it user-friendly and for reference purposes.
Any comments should be sent to erules@easa.europa.eu.
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Easy Access Rules for Airworthiness and
Environmental Certification (Regulation (EU)
No 748/2012)
Incorporated amendments
INCORPORATED AMENDMENTS
IMPLEMENTING RULES (IRS) (COMMISSION REGULATIONS)
Incorporated Commission Regulation
Regulation amendment
Applicability date1
Regulation (EU) No 748/2012
Recast
10/9/2012
Regulation (EU) No 7/2013
First amendment
29/1/2013
Regulation (EU) No 69/2014
Second amendment
17/2/2014
Regulation (EU) 2015/1039
Third amendment
21/7/2015
Regulation (EU) 2016/5
Fourth amendment
26/1/2016
Regulation (EU) 2019/897
Fifth amendment
23/3/2020
Regulation (EU) 2020/570
Sixth amendment
24/3/2020
Regulation (EU) 2021/699
Seventh amendment
18/5/2021
18/5/2022
Regulation (EU) 2021/1088
Eight amendment
25/7/2021
Regulation (EU) 2022/201
Ninth amendment
Regulation (EU) 2022/203
Tenth amendment
7/3/2022
7/3/2023
7/3/2022
7/3/2023
AMC/GM TO IRS (ED DECISIONS)
Incorporated ED Decision
AMC/GM Issue No, Amendment No
Applicability date
ED Decision 2012/020/R
Recast
6/11/2012
ED Decision 2013/001/R
Part-21 / AMC Amendment 1 / GM Amendment 1
29/1/2013
ED Decision 2014/007/R
Part-21 / AMC Amendment 2 / GM Amendment 2
31/1/2014
ED Decision 2015/016/R
AMC/GM to Part 21 — Issue 2, Amendment 3
10/7/2015
ED Decision 2015/026/R
AMC/GM to Part-21 — Issue 2, Amendment 4
11/11/2015
ED Decision 2016/003/R
AMC/GM Part-21 — Issue 2, Amendment 5
26/1/2016
ED Decision 2016/007/R
AMC/GM to Part-21 — Issue 2, Amendment 6
19/12/2016
ED Decision 2017/024/R
AMC/GM to Part-21 — Issue 2, Amendment 7
15/12/2017
ED Decision 2019/003/R
AMC/GM to Part-21 — Issue 2, Amendment 8
14/2/2019
1
This is the date of application (i.e. the date from which an act or a provision in an act produces its full legal effects) as defined in
the relevant cover regulation article. Some provisions of the regulations though may be applicable at a later date (deferred applicability).
Besides, there may be some opt-outs (derogations from certain provisions) notified by the Member States.
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Easy Access Rules for Airworthiness and
Environmental Certification (Regulation (EU)
No 748/2012)
Incorporated amendments
ED Decision 2019/018/R
AMC/GM to Part-21 — Issue 2, Amendment 9
30/8/2019
ED Decision 2020/006/R
AMC/GM to Part-21 — Issue 2, Amendment 10
1/1/2021
ED Decision 2021/001/R
AMC and GM to Part 21 — Issue 2, Amendment 11
3/3/2021
ED Decision 2021/007/R
AMC and GM to Part 21 — Issue 2, Amendment 12
29/5/2021
18/5/2022
ED Decision 2021/011/R
AMC and GM to Part 21 — Issue 2, Amendment 13
25/7/2021
Note: To access the official versions, please click on the hyperlinks provided above.
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Easy Access Rules for Airworthiness and
Environmental Certification (Regulation (EU)
No 748/2012)
Table of contents
TABLE OF CONTENTS
Disclaimer ...................................................................................... 4
List of revisions .............................................................................. 5
Note from the editor ...................................................................... 7
Cover regulation article ....................................................................................... 7
Implementing rule annex .......................................................................................... 7
Acceptable means of compliance ................................................................................. 7
Guidance material ......................................................................................................... 7
Incorporated amendments ............................................................. 8
Table of contents ......................................................................... 10
Cover regulation .......................................................................... 30
Article 1 Scope and definitions ............................................................. 32
Article 2 Products, parts and appliances certification ........................... 33
Article 3 Continued validity of type-certificates and related certificates
of airworthiness ................................................................................... 34
Article 4 Continued validity of supplemental type-certificates ............. 35
Article 5................................................................................................ 36
Article 6 Continued validity of parts and appliances certificates ........... 36
Article 7 Permit to fly ........................................................................... 36
Article 7a Operational suitability data .................................................. 37
Article 8 Design organisations .............................................................. 37
Article 9 Production organisations ....................................................... 38
Article 10 Agency measures.................................................................. 39
Article 11 Repeal .................................................................................. 39
Article 12 Entry into force..................................................................... 39
Selected articles of related regulations amending to the content of
Regulation No 748/2012....................................................................... 40
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Environmental Certification (Regulation (EU)
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Table of contents
Annex I 42
21.1 General [applicable until 6 March 2023] / 21.1. Competent
authority [applicable from 7 March 2023 - Regulation (EU) 2022/203] . 42
21.2 Scope ............................................................................................ 43
SECTION A — TECHNICAL REQUIREMENTS ........................................... 44
SUBPART A — GENERAL PROVISIONS ................................................................ 44
21.A.1 Scope ........................................................................................................... 44
21.A.2 Undertaking by another person than the applicant for, or holder of, a certificate
............................................................................................................................... 44
21.A.3A Failures, malfunctions and defects [applicable until 6 March 2023] / 21.A.3A
Reporting system [applicable from 7 March 2023 — Regulation (EU) 2022/201] ....... 44
AMC No 1 to 21.A.3A(a) Collection, investigation and analysis of data related to
Flammability Reduction Means (FRM) reliability ........................................................ 47
AMC No 2 to 21.A.3A(a) Collection, investigation and analysis of data related to ETOPS
significant occurrences................................................................................................ 48
AMC3 21.A.3A(a) Failures, malfunctions and defects ................................................. 48
GM 21.A.3A(a) Failures, malfunctions and defects ..................................................... 48
GM 21.A.3A(b) Failures, malfunctions and defects .................................................... 49
AMC 21.A.3A(b)(2) Reporting to the Agency .............................................................. 49
21.A.3B Airworthiness directives ............................................................................. 49
AMC1 21.A.3B(b) Failures, malfunctions and defects ................................................. 50
GM1 21.A.3B(b) Failures, malfunctions and defects................................................... 51
GM 21.A.3B(d)(4) Defect correction – Sufficiency of proposed corrective action ..... 56
21.A.4 Coordination between design and production ............................................... 63
AMC 21.A.4 Transferring of information on eligibility and approval status from the
design holder to production organisations ................................................................. 63
21.A.5 Record-keeping ............................................................................................ 64
GM1 21.A.5 Repair designs and record keeping ......................................................... 65
21.A.6 Manuals ....................................................................................................... 66
21.A.7 Instructions for continued airworthiness ....................................................... 66
AMC1 21.A.7(a) ICA contents ...................................................................................... 67
AMC2 21.A.7(a) Identification of ICA .......................................................................... 67
AMC3 21.A.7(a) DAH responsibility to check the supplier data which is part of the ICA
or referenced with the ICA .......................................................................................... 68
GM1 21.A.7(a) Scope of ICA, their publication format and typical ICA data .............. 68
GM2 21.A.7(a) Determination of which supplier data is part of the ICA .................... 69
GM3 21.A.7(a) Non-ICA supplier data (e.g. component maintenance manuals (CMMs))
..................................................................................................................................... 71
AMC1 21.A.7(b) Identification of a complete set of instructions for continued
airworthiness (ICA) ...................................................................................................... 71
GM1 21.A.7(b) Other persons required to comply ..................................................... 72
GM2 21.A.7(b) ICA — format ...................................................................................... 72
GM3 21.A.7(b) Approval status of the manual for a component or article ................ 74
GM4 21.A.7(b) Integration of ICA between products (aircraft, engines, propellers) . 74
AMC1 21.A.7(c) Completeness and timely availability of the ICA............................... 75
21.A.9 Access and investigation ............................................................................... 81
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Easy Access Rules for Airworthiness and
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SUBPART B — TYPE-CERTIFICATES AND RESTRICTED TYPE-CERTIFICATES............ 82
21.A.11 Scope ......................................................................................................... 82
21.A.13 Eligibility .................................................................................................... 82
21.A.14 Demonstration of capability........................................................................ 82
AMC to 21.A.143, 21.A.243, 21.A.14(b), 21.A.112B(b) and 21.A.432B(b) Flight Test
Operations Manual (FTOM) ........................................................................................ 83
AMC1 21.A.14(b) Demonstration of capability ........................................................... 85
GM 21.A.14(b) Eligibility for alternative procedures .................................................. 89
21.A.15 Application ................................................................................................. 89
AMC 21.A.15(a) Form and manner ............................................................................ 91
AMC 21.A.15(b) Content of the certification programme .......................................... 91
Appendix A to AMC 21.A.15(b) Means of compliance codes ............................................ 94
AMC 21.A.15(b)(5) Breakdown of the certification programme into compliance
demonstration items (CDIs) ........................................................................................ 94
GM No 1 to 21.A.15(d) Application for the approval of operational suitability data –
MMEL for ELA1 and ELA2 ............................................................................................ 95
GM No 2 to 21.A.15(d) Determination of type or variant........................................... 96
GM No 3 to 21.A.15(d) OSD content ........................................................................... 96
GM4 21.A.15(d) Application ........................................................................................ 97
GM 21.A.15(c) Updates to the certification programme ................................................... 97
GM 21.A.15(e) and (f) Period of validity for the application for a type certificate (TC)
or restricted type certificate (RTC) .............................................................................. 98
21.A.19 Changes requiring a new type-certificate..................................................... 99
21.A.20 Demonstration of compliance with the type certification basis, operational
suitability data certification basis and environmental protection requirements ...... 100
GM 21.A.20 Compliance demonstration process .................................................... 100
GM 21.A.20(b) Reporting on the compliance demonstration process ..................... 101
AMC 21.A.20(c) Compliance documentation ............................................................ 101
GM 21.A.20(d) Final statement ................................................................................ 102
21.A.21 Requirements for the issuance of a type certificate or restricted type certificate
............................................................................................................................. 102
GM 21.A.21(a)(3)(i) Clarification of the term ‘determined’ ...................................... 103
GM 21.A.21(b), 21.A.95(c), 21.A.97(c), 21.A.115(c), 21.B.103(b), 21.B.107(b) and
21.B.111(b) Approval of operational suitability data (OSD)...................................... 103
21.A.31 Type design .............................................................................................. 103
21.A.33 Inspections and tests ................................................................................ 104
AMC 21.A.33 Inspections and tests .......................................................................... 105
GM 21.A.33(d) Inspections and tests ....................................................................... 107
21.A.35 Flight Tests ............................................................................................... 107
GM 21.A.35 Flight Tests ............................................................................................ 108
GM 21.A.35(b)(2) Objective and Content of Function and Reliability Testing .......... 108
GM 21.A.35(f)(1) Flying Time for Function and Reliability Testing ........................... 108
GM 21.A.35(f)(2) Flying Time for Function and Reliability Testing ........................... 109
21.A.41 Type-certificate ........................................................................................ 109
21.A.44 Obligations of the holder .......................................................................... 109
21.A.47 Transferability .......................................................................................... 109
21.A.51 Duration and continued validity ................................................................ 110
21.A.62 Availability of operational suitability data ................................................. 110
GM to 21.A.62, 21.A.108 and 21.A.120B Availability of Operational Suitability Data
................................................................................................................................... 110
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21.A.65 Continuing structural integrity for aeroplanes structures ........................... 110
AMC1 21.A.65 Continuing structural integrity programme for aeroplane structures
................................................................................................................................... 111
(SUBPART C — NOT APPLICABLE) ..................................................................... 113
SUBPART D — CHANGES TO TYPE-CERTIFICATES AND RESTRICTED TYPECERTIFICATES .................................................................................................. 113
21.A.90A Scope ..................................................................................................... 113
GM 21.A.90A Scope .................................................................................................. 113
21.A.90B Standard changes ................................................................................... 113
GM 21.A.90B Standard changes — Certification Specifications ............................... 114
21.A.90C Stand-alone changes to the Instructions for Continued Airworthiness ...... 114
GM1 21.A.90C Stand-alone changes ......................................................................... 114
21.A.91 Classification of changes to a type-certificate ............................................ 115
GM 21.A.91 Classification of changes to a type certificate (TC) .............................. 115
Appendix A to GM 21.A.91 Examples of Major Changes per discipline............................ 122
21.A.92 Eligibility .................................................................................................. 131
21.A.93 Application ............................................................................................... 131
AMC 21.A.93(a) Form and manner .......................................................................... 132
AMC 21.A.93(b) Certification programme for a change to a TC or an STC .............. 132
GM No 1 to 21.A.93(b)(1)(iii) Interaction of changes to the type design and changes to
operational suitability data (OSD) ..................................................................................... 133
GM No 2 to 21.A.93(b)(1)(iii) Interaction of changes to the type design and changes
to the master minimum equipment list (MMEL) ...................................................... 137
GM 21.A.93(c) Period of validity for the application ............................................... 138
21.A.95 Requirements for approval of a minor change ........................................... 139
AMC 21.A.95 Requirements for the approval of a minor change ............................ 139
GM 21.A.95(b) Requirements for the approval of a minor change ......................... 142
GM 21.A.21(b), 21.A.95(c), 21.A.97(c), 21.A.115(c), 21.B.103(b), 21.B.107(b) and
21.B.111(b) Approval of operational suitability data (OSD)...................................... 142
21.A.97 Requirements for approval of a major change .......................................... 142
AMC 21.A.97 Requirements for the approval of a major change ............................ 143
GM 21.A.97(b) Requirements for the approval of a major change ......................... 143
GM 21.A.21(b), 21.A.95(c), 21.A.97(c), 21.A.115(c), 21.B.103(b), 21.B.107(b) and
21.B.111(b) Approval of operational suitability data (OSD)...................................... 144
21.A.101 Type-certification basis, operational suitability data certification basis and
environmental protection requirements for a major change to a type-certificate.... 144
GM 21.A.101 Establishing the certification basis of changed aeronautical products
................................................................................................................................... 146
Appendix A to GM 21.A.101 Classification of design changes .......................................... 172
Appendix B to GM 21.A.101 Application charts for changed product rule ...................... 205
Appendix C to GM 21.A.101 A method to determine the changed and affected areas ... 207
Appendix D to GM 21.A.101 Other guidance for affected areas ...................................... 210
Appendix E to GM 21.A.101 Procedure for evaluating material contribution to safety or
impracticality of applying latest certification specifications to a changed product ......... 211
Appendix F to GM 21.A.101 The use of service experience in the exception process ..... 222
Appendix G to GM 21.A.101 Changed product rule (CPR) decision record ...................... 225
Appendix H to GM 21.A.101 Examples of documenting the proposed certification basis list
.......................................................................................................................................... 226
Appendix I to GM 21.A.101 Related documents .............................................................. 234
Appendix J to GM 21.A.101 Definitions and terminology ................................................ 235
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GM No 1 to 21.A.101(g) Establishment of the operational suitability data (OSD)
certification basis for changes to type certificates (TCs) .......................................... 237
AMC1 21.A.101(h) Type-certification basis for changes to large aeroplanes subject to
point 26.300 of Part-26 ............................................................................................. 238
21.A.108 Availability of operational suitability data ............................................... 238
GM to 21.A.62, 21.A.108 and 21.A.120B Availability of Operational Suitability Data
................................................................................................................................... 239
21.A.109 Obligations and EPA marking .................................................................. 239
SUBPART E — SUPPLEMENTAL TYPE-CERTIFICATES .......................................... 240
21.A.111 Scope ..................................................................................................... 240
21.A.112A Eligibility .............................................................................................. 240
21.A.112B Demonstration of capability ................................................................. 240
AMC to 21.A.143, 21.A.243, 21.A.14(b), 21.A.112B(b) and 21.A.432B(b) Flight Test
Operations Manual (FTOM) ...................................................................................... 240
GM1 to 21.A.112B Demonstration of capability ....................................................... 243
21.A.113 Application for a supplemental type-certificate ....................................... 246
AMC 21.A.113(a) Form and manner ......................................................................... 246
21.A.115 Requirements for approval of major changes in the form of a supplemental
type-certificate ..................................................................................................... 247
AMC 21.A.115 Requirements for the approval of major changes in the form of a
supplemental type certificate (STC) .......................................................................... 248
GM 21.A.21(b), 21.A.95(c), 21.A.97(c), 21.A.115(c), 21.B.103(b), 21.B.107(b) and
21.B.111(b) Approval of operational suitability data (OSD)...................................... 248
21.A.116 Transferability ........................................................................................ 249
21.A.117 Changes to that part of a product covered by a supplemental type-certificate
............................................................................................................................. 249
21.A.118A Obligations and EPA marking ................................................................ 249
21.A.118B Duration and continued validity ............................................................ 250
21.A.120B Availability of operational suitability data ............................................. 250
GM to 21.A.62, 21.A.108 and 21.A.120B Availability of Operational Suitability Data
................................................................................................................................... 250
SUBPART F — PRODUCTION WITHOUT PRODUCTION ORGANISATION APPROVAL
....................................................................................................................... 251
21.A.121 Scope ..................................................................................................... 251
GM No 1 to 21.A.121 Applicability – Individual product, part or appliance ............. 251
GM No 2 to 21.A.121 Applicability – Applicable design data.................................... 251
21.A.122 Eligibility ................................................................................................ 252
AMC No 1 to 21.A.122 Eligibility – Link between design and production................. 252
AMC No 2 to 21.A.122 Eligibility – Link between design and production................. 253
21.A.124 Application ............................................................................................. 255
GM 21.A.124(a) Application – Application form ....................................................... 256
GM 21.A.124(b)(1)(i) Applicability – Inappropriate approval under Subpart G........ 256
GM 21.A.124(b)(1)(ii) Certification or approval needed in advance of the issue of a
POA ............................................................................................................................ 256
GM 21.A.124(b)(2) Application – Minimum information to include with the application
................................................................................................................................... 257
21.A.124A Means of compliance............................................................................ 257
21.A.125A Issue of a letter of agreement [applicable until 6 March 2023] / 21.A.125A
Issuance of a letter of agreement [applicable from 7 March 2023] .......................... 257
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GM No 1 to 21.A.125A Letter of agreement – Meaning of individual ...................... 258
GM No 1 to 21.A.125A(b) Letter of agreement – Contents of the Manual .............. 258
GM No 2 to 21.A.125A(b) Letter of agreement – Production Inspection System:
Functional Tests ........................................................................................................ 259
GM 21.A.125A(c) Letter of agreement – Assistance ................................................. 259
21.A.125B Findings [applicable until 6 March 2023] / 21.A.125B Findings and
observations [applicable from 7 March 2023 - Regulation (EU) 2022/201] .............. 259
GM No 1 to 21.A.125B(a) Uncontrolled non-compliance with applicable design data
................................................................................................................................... 260
GM No 2 to 21.A.125B(a) Examples for level one findings ....................................... 260
21.A.125C Duration and continued validity ............................................................ 261
21.A.126 Production inspection system ................................................................. 262
GM 21.A.126 Production inspection system ............................................................. 263
GM 21.A.126(a)(1) Production inspection system – Conformity of supplied parts,
appliances and material ............................................................................................ 263
GM 21.A.126(a)(2) Production inspection system – Identification of incoming
materials and parts ................................................................................................... 263
GM No 1 to 21.A.126(a)(3) Production inspection system – List of specifications ... 264
GM No 2 to 21.A.126(a)(3) Production inspection system – Means of checking of the
production processes ................................................................................................ 264
GM 21.A.126(a)(4) Production inspection system – Applicable design/production data
procedures ................................................................................................................ 265
GM 21.A.126(b)(1) Production inspection system – Inspection of parts in process. 265
GM 21.A.126(b)(2) Production inspection system – Suitable storage and protection
................................................................................................................................... 265
GM 21.A.126(b)(3) Production inspection system – Use of derived data instead of
original design data ................................................................................................... 266
GM 21.A.126(b)(4) Production inspection system – Segregation of rejected material
................................................................................................................................... 266
GM 21.A.126(b)(5) Production inspection system – Engineering and manufacturing
review procedure ...................................................................................................... 266
GM 21.A.126(b)(6) Production inspection system – Recording and record keeping 267
21.A.127 Tests: aircraft.......................................................................................... 268
GM 21.A.127 Approved production ground and flight tests .................................... 268
21.A.128 Tests: engines and propellers .................................................................. 268
GM No 1 to 21.A.128 Acceptable functional test – Engines ..................................... 268
GM No 2 to 21.A.128 Acceptable functional test – Variable pitch propellers .......... 269
GM No 3 to 21.A.128 Acceptable functional test – Engines and Propellers ............. 269
21.A.129 Obligations of the manufacturer [applicable until 6 March 2023] / 21.A.129
Obligations of the production organisation [applicable from 7 March 2023 - Regulation
(EU) 2022/201]...................................................................................................... 269
GM 21.A.129(a) Availability for inspection by the competent authority.................. 270
AMC No 1 to 21.A.129(c) Obligations of the manufacturer – Conformity of prototype
models and test specimens ....................................................................................... 270
AMC No 2 to 21.A.129(c) Obligations of the manufacturer – Conformity with
Applicable Design Data.............................................................................................. 270
AMC No 3 to 21.A.129(c) Obligations of the manufacturer – Condition for safe
operation ................................................................................................................... 271
21.A.130 Statement of conformity ......................................................................... 272
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GM1 21.A.130, 21.A.163 and 21.A.165 Performance of tasks in real time for the
issuance of an ‘EASA Form 1’ for prototype and new parts, appliances and products
other than complete aircraft, using information and communication technologies (ICT)
................................................................................................................................... 273
AMC No 1 to 21.A.130(b) Statement of conformity for complete aircraft ............... 276
AMC2 21.A.130(b) Statement of Conformity for Products (other than complete
aircraft), parts, appliances and materials — The Authorised Release Certificate (EASA
Form 1) ...................................................................................................................... 279
AMC1 21.A.130(b)(4)(i) Applicable engine exhaust emissions requirements .......... 281
GM1 21.A.130(b)(4)(i) Definitions of engine type certification date and production
date ........................................................................................................................... 281
AMC1 21.A.130(b)(4)(ii) Applicable aeroplane CO2 emissions requirements .......... 282
AMC 21.A.130(c) Validation of the Statement of Conformity .................................. 282
AMC 21.A.130(c)(1) Initial transfer of ownership ..................................................... 282
SUBPART G — PRODUCTION ORGANISATION APPROVAL ................................. 284
21.A.131 Scope ..................................................................................................... 284
AMC-ELA No 1 to 21.A.131 Scope ............................................................................. 284
GM-ELA No 1 to 21.A.131 Scope – General applicability of AMC-ELA and the use of
AMC-ELA as a baseline outside its scope .................................................................. 284
GM-ELA No 2 to 21.A.131 Scope – AMC-ELA as a complete, self-contained set of AMC
................................................................................................................................... 285
GM-ELA No 3 to 21.A.131 Scope – Applicable design data....................................... 285
GM-ELA No 4 to 21.A.131 Scope – Explanation of terms used in AMC-ELA ............. 285
GM 21.A.131 Scope – Applicable design data........................................................... 286
21.A.133 Eligibility ................................................................................................ 286
GM 21.A.133(a) Eligibility – Approval appropriate for showing conformity ............ 287
AMC No 1 to 21.A.133(b) and (c) Eligibility – Link between design and production
organisations ............................................................................................................. 288
AMC No 2 to 21.A.133(b) and (c) Eligibility – Link between design and production
organisations ............................................................................................................. 289
AMC-ELA No 1 to 21.A.133(c) Eligibility – Link between design and production ..... 291
AMC-ELA No 2 to 21.A.133(c) Eligibility – Link between design and production ..... 292
21.A.134 Application ............................................................................................. 292
GM 21.A.134 Application – Application form and manner ....................................... 293
GM-ELA No 1 to 21.A.134 Scope – Application ......................................................... 293
21.A.134A Means of compliance............................................................................ 293
21.A.135 Issue of production organisation approval [applicable until 6 March 2023] /
21.A.135 Issuance of production organisation approval [applicable from 7 March 2023
- Regulation (EU) 2022/201] .................................................................................. 293
21.A.139 Quality System [applicable until 6 March 2023] / 21.A.139 Production
management system [applicable from 7 March 2023 - Regulation (EU) 2022/201] .. 293
GM1 21.A.139, 21.A.157, 21.A.239, 21.A.257, 21.B.120, 21.B.140, 21.B.220, 21.B.235
and 21.B.240 The use of information and communication technologies (ICT) for
performing remote audits ......................................................................................... 296
GM-ELA No 1 to 21.A.139(a) Quality system ........................................................... 298
GM-ELA No 2 to 21.A.139(a) Quality system ........................................................... 298
GM No 1 to 21.A.139(a) Quality System ................................................................... 299
GM No 2 to 21.A.139(a) Quality System – Conformity of supplied parts or appliances
................................................................................................................................... 299
AMC-ELA No 1 to 21.A.139(b)(1) Quality system – Control procedures................... 300
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GM-ELA No 1 to 21.A.139(b)(1) Quality system – Control procedures..................... 302
GM-ELA No 2 to 21.A.139(b)(1) Conformity of supplied parts or appliances ........... 303
GM 21.A.139(b)(1) Quality System – Elements of the quality system ...................... 303
AMC No 1 to 21.A.139(b)(1)(ii) Vendor and sub-contractor assessment, audit and
control – Production Organisation Approval (POA) holder using documented
arrangements with other parties for assessment and surveillance of a supplier. .... 304
AMC No 2 to 21.A.139(b)(1)(ii) Vendor and sub-contractor assessment, audit and
control – Production Organisation Approval (POA) holder using other party supplier
certification ............................................................................................................... 306
AMC-ELA No 1 to 21.A.139(b)(2) Quality system – Independent quality assurance
function ..................................................................................................................... 308
GM-ELA No 1 to 21.A.139(b)(2) Quality system – Independent quality assurance
function ..................................................................................................................... 308
GM No 1 to 21.A.139(b)(2) Quality System – Independent quality assurance function
................................................................................................................................... 308
GM No 2 to 21.A.139(b)(2) Quality System – Adequacy of procedures and monitoring
function ..................................................................................................................... 308
21.A.143 Exposition [applicable until 6 March 2023] / 21.A.143 Production organisation
exposition [applicable from 7 March 2023 - Regulation (EU) 2022/201] .................. 309
AMC to 21.A.143, 21.A.243, 21.A.14(b), 21.A.112B(b) and 21.A.432B(b) Flight Test
Operations Manual (FTOM) ...................................................................................... 310
AMC-ELA No 1 to 21.A.143 Exposition ..................................................................... 313
GM-ELA No 1 to 21.A.143 Exposition ........................................................................ 314
GM 21.A.143 Exposition – Production Organisation Exposition (POE) ..................... 315
AMC-ELA No 1 to 21.A.143(a)(13) Exposition – Policies and procedures related to
flight test ................................................................................................................... 315
AMC-ELA No 2 to 21.A.143(a)(13) Exposition – Policies and procedures related to flight
test............................................................................................................................. 316
21.A.145 Approval requirements [applicable until 6 March 2023] / 21.A.145 Resources
[applicable from 7 March 2023 - Regulation (EU) 2022/201] ................................... 318
AMC-ELA No 1 to 21.A.145(a) Approval requirements – General ............................ 319
GM 21.A.145(a) Approval requirements ................................................................... 320
AMC-ELA No 1 to 21.A.145(b) Approval requirements – Airworthiness noise fuel
venting and exhaust emissions data ......................................................................... 320
GM 21.A.145(b)(2) Approval requirements – Airworthiness and environmental
protection, production/quality data procedures ...................................................... 320
AMC-ELA No 1 to 21.A.145(c) Approval requirements – Management and staff ... 321
GM 21.A.145(c)(1) Approval requirements – Accountable manager ....................... 321
GM 21.A.145(c)(2) Approval requirements – Responsible managers ...................... 321
AMC 21.A.145(d)(1) Approval requirements – Certifying staff................................. 322
AMC-ELA No 1 to 21.A.145(d)(1) Approval requirements – Certifying staff............. 323
AMC 21.A.145(d)(2) Approval requirements – Record of certifying staff................. 323
AMC-ELA No 1 to 21.A.145(d)(2) Approval requirements – Records of certifying staff
................................................................................................................................... 324
AMC 21.A.145(d)(3) Approval requirements – Evidence of authorisation ............... 324
AMC-ELA No 1 to 21.A.145(d)(3) Approval requirements – Evidence of authorisation
................................................................................................................................... 325
21.A.147 Changes to the approved production organisation [applicable until 6 March
2023] / 21.A.147 Changes in the production management system applicable from 7
March 2023 - Regulation (EU) 2022/201] ............................................................... 325
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GM-ELA No 1 to 21.A.147 Changes to the approved production organisation ........ 325
GM 21.A.147(a) Changes to the approved production organisation – Significant
changes...................................................................................................................... 326
21.A.148 Changes of location................................................................................. 326
AMC 21.A.148 Changes of location – Management during change of location ....... 327
GM-ELA No 1 to 21.A.148 Changes of location ........................................................ 328
21.A.149 Transferability ........................................................................................ 328
GM 21.A.149 and 21.A.249 Transferability ............................................................... 328
21.A.151 Terms of approval ................................................................................... 329
GM 21.A.151 Terms of approval – Scope and categories ......................................... 329
21.A.153 Changes to the terms of approval ............................................................ 330
AMC 21.A.153 Changes to the terms of approval – Application for a change to the
terms of approval ...................................................................................................... 330
AMC-ELA No 1 to 21.A.153 Changes to the terms of approval – Application for a change
to the terms of approval ........................................................................................... 330
21.A.157 Investigations ......................................................................................... 331
GM 21.A.157 Investigations – Arrangements ........................................................... 331
GM1 21.A.139, 21.A.157, 21.A.239, 21.A.257, 21.B.120, 21.B.140, 21.B.220, 21.B.235
and 21.B.240 The use of information and communication technologies (ICT) for
performing remote audits ......................................................................................... 332
GM-ELA No 1 to 21.A.157 Investigations – Arrangements ....................................... 334
21.A.158 Findings [applicable until 6 March 2023] / 21.A.158 Findings and observations
[applicable from 7 March 2023 - Regulation (EU) 2022/201] ................................... 334
GM-ELA No 1 to 21.A.158 Findings ........................................................................... 335
GM No 1 to 21.A.158(a) Uncontrolled non-compliance with applicable design data
................................................................................................................................... 335
GM No 2 to 21.A.158(a) Examples of level one findings ........................................... 336
21.A.159 Duration and continued validity .............................................................. 336
GM 21.A.159(a)(3) Evidence of a lack of satisfactory control ................................... 337
21.A.163 Privileges ................................................................................................ 337
GM1 21.A.130, 21.A.163 and 21.A.165 Performance of tasks in real time for the
issuance of an ‘EASA Form 1’ for prototype and new parts, appliances and products
other than complete aircraft, using information and communication technologies (ICT)
................................................................................................................................... 338
AMC No 1 to 21.A.163(c) Computer generated signature and electronic exchange of
the EASA Form 1 ........................................................................................................ 341
AMC2 21.A.163(c) Completion of EASA Form 1 ........................................................ 343
AMC-ELA No 1 to 21.A.163(c) Privileges to issue authorised release certificates ... 344
AMC1 21.A.163(d) Privileges ..................................................................................... 345
AMC 21.A.163(e) Procedure for the issue of a permit to fly including approval of the
flight conditions......................................................................................................... 346
21.A.165 Obligations of the holder ........................................................................ 347
GM1 21.A.130, 21.A.163 and 21.A.165 Performance of tasks in real time for the
issuance of an ‘EASA Form 1’ for prototype and new parts, appliances and products
other than complete aircraft, using information and communication technologies (ICT)
................................................................................................................................... 349
AMC-ELA No 1 to 21.A.165(a);(b) Obligations of the holder – Basic working document
................................................................................................................................... 352
GM 21.A.165(a) Obligations of the holder – Basic working document .................... 352
GM-ELA No 1 to 21.A.165(c) Obligations of the holder ............................................ 353
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GM No 1 to 21.A.165(c) Obligations of the holder – Conformity of prototype models
and test specimens.................................................................................................... 353
GM No 2 to 21.A.165(c) Obligations of holder – Conformity with type design ........ 353
GM No 3 to 21.A.165(c) Obligations of the holder – Condition for safe operation .. 353
GM No 4 to 21.A.165(c) Airworthiness Release or Conformity Certificate............... 355
AMC1 21.A.165(c)(3) Applicable engine exhaust emissions requirements .............. 355
GM1 21.A.165(c)(3) Definitions of engine type certification date and production date
................................................................................................................................... 355
AMC1 21.A.165(c)(4) Applicable aeroplane CO2 emissions requirements ............... 356
GM 21.A.165(d) and (h) Obligations of the holder – Recording and archiving system
................................................................................................................................... 356
AMC-ELA No 1 to 21.A.165(d) Obligations of the holder – Recording and archiving
system ....................................................................................................................... 357
AMC-ELA No 1 to 21.A.165(e);(f) Obligations of the holder – Reporting to the design
holder ........................................................................................................................ 358
AMC-ELA No 1 to 21.A.165(g) Obligations of the holder – Continuing airworthiness
assistance .................................................................................................................. 358
AMC-ELA No 1 to 21.A.165(d);(h) Obligations of the holder – Recording and archiving
system ....................................................................................................................... 358
SUBPART H — CERTIFICATES OF AIRWORTHINESS AND RESTRICTED CERTIFICATES
OF AIRWORTHINESS ........................................................................................ 360
21.A.171 Scope ..................................................................................................... 360
21.A.172 Eligibility ................................................................................................ 360
21.A.173 Classification .......................................................................................... 360
21.A.174 Application ............................................................................................. 360
21.A.175 Language ................................................................................................ 361
21.A.177 Amendment or modification ................................................................... 362
21.A.179 Transferability and re-issuance within Member States ............................. 362
21.A.180 Inspections ............................................................................................. 362
21.A.181 Duration and continued validity .............................................................. 362
21.A.182 Aircraft identification .............................................................................. 363
SUBPART I — NOISE CERTIFICATES................................................................... 364
21.A.201 Scope ..................................................................................................... 364
21.A.203 Eligibility ................................................................................................ 364
21.A.204 Application ............................................................................................. 364
21.A.207 Amendment or modification ................................................................... 364
21.A.209 Transferability and re-issuance within Member States ............................. 365
21.A.210 Inspections ............................................................................................. 365
21.A.211 Duration and continued validity .............................................................. 365
SUBPART J — DESIGN ORGANISATION APPROVAL ........................................... 366
21.A.231 Scope ..................................................................................................... 366
AMC-ELA No 1 to 21.A.231 Scope ............................................................................. 366
GM-ELA No 1 to 21.A.231 Scope ............................................................................... 366
GM-ELA No 2 to 21.A.231 Scope – AMC-ELA as a complete, self-contained set of AMC
................................................................................................................................... 367
GM-ELA No 3 to 21.A.231 Scope – Explanation of terms used in AMC-ELA ............. 367
21.A.233 Eligibility ................................................................................................ 368
21.A.234 Application ............................................................................................. 368
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AMC-ELA No 1 to 21.A.234 Application ................................................................... 368
21.A.235 Issue of design organisation approval ...................................................... 368
21.A.239 Design assurance system [applicable until 6 March 2023] / 21.A.139 Design
management system [applicable from 7 March 2023 - Regulation (EU) 2022/201] .. 368
AMC-ELA No 1 to 21.A.239(a) Design assurance system – Definition ..................... 370
AMC-ELA No 2 to 21.A.239(a) Design assurance system – Ensuring compliance ..... 371
AMC-ELA No 3 to 21.A.239(a) Design assurance system – Discharge of responsibilities
................................................................................................................................... 373
AMC-ELA No 4 to 21.A.239(a) Design assurance system – Independent system
monitoring ................................................................................................................. 374
GM1 21.A.139, 21.A.157, 21.A.239, 21.A.257, 21.B.120, 21.B.140, 21.B.220, 21.B.235
and 21.B.240 The use of information and communication technologies (ICT) for
performing remote audits ......................................................................................... 374
GM1 21.A.239(a) Design assurance system .............................................................. 376
GM No. 2 to 21.A.239(a) Design assurance system for minor changes to type design or
minor repairs to products ......................................................................................... 383
AMC 21.A.239(a)(3) Design assurance system – Independent system monitoring .. 383
AMC 21.A.239(b) Design assurance system – Independent checking function of the
demonstration of compliance ................................................................................... 383
AMC-ELA No 1 to 21.A.239(b) Design assurance system – Independent checking
function ..................................................................................................................... 384
AMC-ELA No 1 to 21.A.239(c) Design assurance system – Acceptability of tasks
performed by external parties .................................................................................. 384
GM 21.A.239(c) Design assurance system ................................................................ 385
21.A.243 Data [applicable until 6 March 2023] / 21.A.243 Handbook [applicable from 7
March 2023 - Regulation (EU) 2022/201] ............................................................... 385
AMC to 21.A.143, 21.A.243, 21.A.14(b), 21.A.112B(b) and 21.A.432B(b) Flight Test
Operations Manual (FTOM) ...................................................................................... 387
AMC1 21.A.243(a) Data requirements ...................................................................... 389
AMC No 2 to 21.A.243(a) Data requirements – Model content of handbook for
organisations designing minor changes to type design or minor repairs to products
................................................................................................................................... 391
AMC-ELA No 1 to 21.A.243 Data – Design organisation handbook ......................... 392
AMC-ELA No 2 to 21.A.243 Data – Policies and procedures in relation to flight tests
................................................................................................................................... 395
AMC-ELA No 1 to 21.A.243(d) Data – Statement of qualifications and experience 397
GM No 1 to 21.A.243(d) Statement of qualifications and experience ...................... 398
GM No 2 to 21.A.243(d) Data requirements – Statement of the qualification and
experience – Organisations that design minor changes to type designs or minor repairs
to products ................................................................................................................ 400
21.A.245 Approval requirements [applicable until 6 March 2023] / 21.A.245 Resources
[applicable from 7 March 2023 - Regulation (EU) 2022/201] ................................... 401
AMC-ELA No 1 to 21.A.245 Approval requirements ................................................ 402
GM No 1 to 21.A.245 Requirements for approval .................................................... 403
GM No 2 to 21.A.245 Requirements for approval – Organisations designing minor
changes to type design or minor repairs to products ............................................... 404
21.A.247 Changes in design assurance system [applicable until 6 March 2023] / 21.A.247
Changes in the design management system [applicable from 7 March 2023 - Regulation
(EU) 2022/201]...................................................................................................... 404
GM 21.A.247 Significant changes in the design assurance system ........................... 405
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GM-ELA No 1 to 21.A.247 Changes in design assurance system .............................. 406
21.A.249 Transferability ........................................................................................ 407
GM 21.A.249 Transferability ..................................................................................... 407
GM 21.A.149 and 21.A.249 Transferability ............................................................... 408
21.A.251 Terms of approval ................................................................................... 408
GM No 1 to 21.A.251 Terms of approval .................................................................. 409
GM No 2 to 21.A.251 Terms of approval – Organisations that design minor changes
to type design or minor repairs to products ............................................................. 409
GM-ELA No 1 to 21.A.251 Terms of approval ........................................................... 410
21.A.253 Changes to the terms of approval ............................................................ 410
AMC-ELA No 1 to 21.A.253 Changes to the terms of approval ................................ 410
21.A.257 Investigations ......................................................................................... 410
GM1 21.A.139, 21.A.157, 21.A.239, 21.A.257, 21.B.120, 21.B.140, 21.B.220, 21.B.235
and 21.B.240 The use of information and communication technologies (ICT) for
performing remote audits ......................................................................................... 411
GM-ELA No 1 to 21.A.257 Investigations – Arrangements ...................................... 412
GM 21.A.257(a) Investigations .................................................................................. 413
21.A.258 Findings [applicable until 6 March 2023] / 21.A.258 Findings and observations
[applicable from 7 March 2023 - Regulation (EU) 2022/201] ................................... 413
21.A.259 Duration and continued validity .............................................................. 414
21.A.263 Privileges ................................................................................................ 415
AMC-ELA1 to 21.A.263 Privileges and AMC-ELA1 to 21.A.265(h) Obligations of the
holder ........................................................................................................................ 416
AMC1 21.A.263(c)(1) Privileges ................................................................................. 418
AMC2 21.A.263(c)(1) Privileges ................................................................................. 421
AMC1 21.A.263(c)(2) Privileges ................................................................................. 422
AMC2 21.A.263(c)(2) Privileges ................................................................................. 424
AMC No 3 to 21.A.263(c)(2) Procedure for the approval of minor changes to a type
certificate (TC) which affect the aircraft flight manual (AFM) .................................. 425
AMC1 21.A.263(c)(6) Privileges ................................................................................. 427
AMC 21.A.263(c)(7) Procedure for the issue of a permit to fly ................................ 430
AMC No 1 to 21.A.263(c)(5), (8) and (9) Scope and criteria..................................... 431
AMC No 2 to 21.A.263(c)(5), (8) and (9) Procedure for the approval of a major repair,
a major change to a type certificate (TC), or a supplemental type certificate (STC) by a
design organisation approval (DOA) holder under their privileges .......................... 433
GM 21.A.263(c)(5), (8) and (9) Numbering system for supplemental type certificates
(STCs), major changes and major repairs issued by design organisation approval (DOA)
holders, and information to EASA ............................................................................. 442
21.A.265 Obligations of the holder ........................................................................ 442
AMC1 21.A.265(a) Obligations of the holder ............................................................ 443
AMC2 21.A.265(a) Obligations of the holder ............................................................ 444
AMC-ELA No 1 to 21.A.265(a) Obligations of the holder – Administration of the design
organisation handbook ............................................................................................. 444
AMC-ELA No 1 to 21.A.265(b) Obligations of the holder – Use of the design
organisation handbook as a basic working document .............................................. 444
GM 21.A.265(b) Obligations of the holder ................................................................ 445
AMC-ELA No 1 to 21.A.265(c) Obligations of the holder – Determination of compliance
................................................................................................................................... 445
AMC-ELA No 1 to 21.A.265(e) Obligations of the holder – Providing information in
response to airworthiness directives ........................................................................ 445
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GM 21.A.265(h) Designation of data and information issued under the authority of a
design organisation approval (DOA) holder .............................................................. 446
AMC-ELA1 to 21.A.263 Privileges and AMC-ELA1 to 21.A.265(h) Obligations of the
holder ........................................................................................................................ 447
SUBPART K — PARTS AND APPLIANCES ........................................................... 450
21.A.301 Scope ..................................................................................................... 450
21.A.303 Compliance with applicable requirements ............................................... 450
AMC 21.A.303(c) Standard Parts ............................................................................... 450
GM No 2 to 21.A.303(c) Officially recognised Standards .......................................... 451
21.A.305 Approval of parts and appliances ............................................................ 451
21.A.307 The eligibility of parts and appliances for installation .............................. 451
AMC1 21.A.307(b)(3) and (b)(4) Verification activities to be conducted on the part or
appliance or release documentation prior to installation ........................................ 452
GM1 21.A.307(b)(3) and (b)(4) Meaning of ‘negligible safety effect’ ....................... 452
GM1 21.A.307(b)(4) Certification specifications referred to in point 21.A.307(b)(4)
................................................................................................................................... 453
GM1 21.A.307(b)(5) Equipment exempted from an airworthiness approval in
accordance with Commission Regulation (EU) No 965/2012 ................................... 453
GM1 21.A.307(b)(6) Part or appliance that is part of a higher-level assembly ........ 454
(SUBPART L — NOT APPLICABLE) ..................................................................... 455
SUBPART M — REPAIRS ................................................................................... 455
21.A.431A Scope ................................................................................................... 455
GM 21.A.431A Scope ................................................................................................ 455
GM 21.A.431A(e) Repairs to European technical standard order (ETSO) articles other
than auxiliary power units (APUs) ............................................................................. 456
21.A.431B Standard repairs ................................................................................... 456
GM 21.A.431B Standard repairs – Certification Specifications ................................. 456
21.A.432A Eligibility .............................................................................................. 456
21.A.432B Demonstration of capability ................................................................. 457
GM 21.A.432B(b) Alternative procedures ................................................................ 457
AMC to 21.A.143, 21.A.243, 21.A.14(b), 21.A.112B(b) and 21.A.432B(b) Flight Test
Operations Manual (FTOM) ...................................................................................... 457
21.A.432C Application for a repair design approval ................................................ 459
AMC 21.A.432C(a) Form and manner ...................................................................... 460
AMC 21.A.432C(b) Certification programme for a repair design approval.............. 461
21.A.433 Requirements for approval of a repair design .......................................... 461
AMC1 21.A.433(a)(5) Requirements for the approval of repairs to large aeroplanes
subject to point 26.302 of Part-26 ............................................................................ 462
AMC 21.A.433(a) and 21.A.5 Repair design and record-keeping.............................. 462
21.A.435 Classification and approval of repair designs........................................... 463
GM 21.A.435(a) Classification of repairs ................................................................... 463
GM 21.A.435(b) Repair design approval .................................................................. 465
21.A.439 Production of repair parts ....................................................................... 466
21.A.441 Repair embodiment ................................................................................ 466
21.A.443 Limitations ............................................................................................. 466
21.A.445 Unrepaired damage ................................................................................ 466
GM 21.A.445 Unrepaired damage ........................................................................... 467
21.A.451 Obligations and EPA marking .................................................................. 468
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(SUBPART N — NOT APPLICABLE) .................................................................... 469
SUBPART O — EUROPEAN TECHNICAL STANDARD ORDER AUTHORISATIONS ... 469
21.A.601 Scope ..................................................................................................... 469
21.A.602A Eligibility .............................................................................................. 469
21.A.602B Demonstration of capability .................................................................. 469
AMC 21.A.602B(b)(2) Procedures for ETSO authorisations ...................................... 469
21.A.603 Application ............................................................................................. 470
21.A.604 ETSO authorisation for an auxiliary power unit (APU) .............................. 470
21.A.605 Data requirements ................................................................................. 471
AMC 21.A.605(a)(1) Certification programme ......................................................... 471
GM 21.A.605(b) Reporting from the compliance demonstration process and updates
to the certification programme................................................................................. 472
21.A.606 Requirements for the issuance of an ETSO authorisation......................... 473
AMC 21.A.606(d) Declaration................................................................................... 473
21.A.607 ETSO authorisation privileges .................................................................. 473
21.A.608 Declaration of Design and Performance (DDP) ......................................... 473
AMC 21.A.608 Declaration of Design and Performance ........................................... 474
21.A.609 Obligations of holders of ETSO authorisations ......................................... 476
AMC1 21.A.609(c) and (d) Obligations of holders of ETSO authorisations ............... 476
21.A.610 Approval for deviation ............................................................................ 477
21.A.611 Design changes ....................................................................................... 477
GM to 21.A.611 Design changes ............................................................................... 477
21.A.615 Inspection by the Agency ........................................................................ 478
21.A.619 Duration and continued validity .............................................................. 478
21.A.621 Transferability ........................................................................................ 479
SUBPART P — PERMIT TO FLY .......................................................................... 480
GM to Subpart P ................................................................................................... 480
21.A.701 Scope ..................................................................................................... 484
GM 21.A.701 Scope ................................................................................................... 484
GM 21.A.701(a) Permit to fly when a certificate of airworthiness or a restricted
certificate of airworthiness is not appropriate ......................................................... 485
21.A.703 Eligibility ................................................................................................ 487
GM 21.A.703 Applicant for a permit to fly ............................................................... 487
21.A.705 Competent authority .............................................................................. 487
GM 21.A.705 Competent authority .......................................................................... 487
21.A.707 Application for permit to fly .................................................................... 487
GM 21.A.707(b) Application ...................................................................................... 488
21.A.708 Flight conditions ..................................................................................... 488
GM 21.A.708(b)(6) Continuing airworthiness ........................................................... 488
GM No 1 to 21.A.708(c) Safe flight ........................................................................... 489
GM No 2 to 21.A.708(c) Substantiations................................................................... 489
GM No 3 to 21.A.708(c) Operation of Overweight Aircraft ...................................... 489
GM 21.A.708(d) Control of aircraft configuration..................................................... 491
21.A.709 Application for approval of flight conditions ............................................ 491
AMC1 21.A.709(b) Application for the approval of flight conditions ....................... 491
21.A.710 Approval of flight conditions ................................................................... 492
GM 21.A.710 Approval of flight conditions ............................................................... 493
21.A.711 Issue of a permit to fly [applicable until 6 March 2023] / 21.A.711 Issuance of
a permit to fly [applicable from 7 March 2023 - Regulation (EU) 2022/201] ............ 493
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GM 21.A.711(e) Additional conditions and restrictions........................................... 494
21.A.713 Changes.................................................................................................. 494
GM 21.A.713 Changes ............................................................................................... 494
21.A.715 Language ................................................................................................ 494
21.A.719 Transferability ........................................................................................ 494
GM 21.A.719 Transfer of a permit to fly ................................................................... 494
21.A.721 Inspections ............................................................................................. 495
21.A.723 Duration and continued validity .............................................................. 495
21.A.725 Renewal of permit to fly ......................................................................... 495
21.A.727 Obligations of the holder of a permit to fly .............................................. 495
21.A.729 Record-keeping....................................................................................... 496
SUBPART Q — IDENTIFICATION OF PRODUCTS, PARTS AND APPLIANCES ......... 497
21.A.801 Identification of products ........................................................................ 497
21.A.803 Handling of identification data ................................................................ 497
21.A.804 Identification of parts and appliances ...................................................... 498
GM 21.A.804(a)(1) Identification of parts and appliances ........................................ 498
GM1 21.A.804(a)(3) Identification of parts and appliances ...................................... 499
AMC1 21.A.804(b) Identification of parts and appliances ........................................ 499
21.A.805 Identification of critical parts .................................................................. 499
GM1 21.A.805 Identification of critical parts ............................................................ 499
21.A.807 Identification of ETSO articles ................................................................. 500
SECTION B — PROCEDURES FOR COMPETENT AUTHORITIES .............. 501
SUBPART A — GENERAL PROVISIONS .............................................................. 501
21.B.5 Scope ......................................................................................................... 501
21.B.10 Oversight documentation ......................................................................... 501
21.B.15 Information to the Agency ........................................................................ 501
21.B.20 Obligations of the competent authority [applicable until 6 March 2023] /
21.B.20 Immediate reaction to a safety problem [applicable from 7 March 2023 Regulation (EU) 2022/203] .................................................................................... 502
GM 21.B.20 Responsibility for implementation ........................................................ 502
21.B.25 Requirements for the organisation of the competent authority [applicable until
6 March 2023] / 21.B.25 Management system [applicable from 7 March 2023 Regulation (EU) 2022/203] .................................................................................... 503
GM 21.B.25(a) Organisation ...................................................................................... 504
GM 21.B.25(b) Resources .......................................................................................... 505
GM 21.B.25(c) Qualification and training.................................................................. 506
21.B.30 Documented procedures [applicable until 6 March 2023] / 21.B.30 Allocation
of tasks to qualified entities [applicable from 7 March 2023 - Regulation (EU) 2022/203]
............................................................................................................................. 506
AMC 21.B.30(a) Documented procedures ................................................................ 507
21.B.35 Changes in organisation and procedures [applicable until 6 March 2023] /
21.B.35 Changes in the management system [applicable from 7 March 2023 - Regulation
(EU) 2022/203]...................................................................................................... 508
AMC 21.B.35(a) Changes ........................................................................................... 508
21.B.40 Resolution of disputes .............................................................................. 509
GM 21.B.40 Principles for the resolution of disputes ............................................... 509
21.B.45 Reporting/coordination ............................................................................ 509
GM No 1 to 21.B.45 Co-ordination with other related activities .............................. 509
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GM No 2 to 21.B.45 Co-ordination............................................................................ 510
GM No 3 to 21.B.45 Reporting – Information relevant to registers established by the
Agency ....................................................................................................................... 510
21.B.55 Record-keeping......................................................................................... 510
GM 21.B.55 Record-keeping for design approvals transferred to the Agency ......... 511
21.B.60 Airworthiness directives ........................................................................... 513
21.B.65 Suspension, limitation and revocation ....................................................... 513
SUBPART B — TYPE-CERTIFICATES AND RESTRICTED TYPE-CERTIFICATES.......... 514
21.B.70 Certification specifications ....................................................................... 514
21.B.75 Special conditions .................................................................................... 514
GM1 21.B.75 Special conditions................................................................................ 514
21.B.80 Type-certification basis for a type-certificate or restricted type-certificate 515
GM 21.B.80 Type-certification basis for a type certificate (TC) or restricted type
certificate (RTC) ......................................................................................................... 515
21.B.82 Operational suitability data certification basis for an aircraft type-certificate or
restricted type-certificate ...................................................................................... 516
GM 21.B.82 Operational suitability data (OSD) certification basis for an aircraft type
certificate (TC) or restricted type certificate (RTC) ................................................... 517
21.B.85 Designation of applicable environmental protection requirements for a typecertificate or restricted type-certificate ................................................................. 518
GM1 21.B.85(a) Applicable environmental protection requirements ...................... 519
21.B.100 Level of involvement .............................................................................. 520
AMC 21.B.100(a) and 21.A.15(b)(6) Level of involvement (LoI) in a certification project
for a type certificate (TC), a major change to a TC, a supplemental type certificate
(STC), a major repair design or European technical standard order (ETSO)
authorisation for an auxiliary power unit (APU) ....................................................... 521
AMC No 1 to 21.B.100(b) Level of involvement (LoI) in projects for minor changes and
minor repairs ............................................................................................................. 531
AMC No 2 to 21.B.100(b) Level of involvement (LoI) in European technical standard
order authorisation (ETSOA) projects ....................................................................... 532
21.B.103 Issuance of a type-certificate or restricted type-certificate [applicable until 6
March 2023] / 21.B.103 Issuance of a type-certificate or a restricted type-certificate
[applicable from 7 March 2023 - Regulation (EU) 2022/201] ................................... 538
GM 21.A.21(b), 21.A.95(c), 21.A.97(c), 21.A.115(c), 21.B.103(b), 21.B.107(b) and
21.B.111(b) Approval of operational suitability data (OSD)...................................... 538
(SUBPART C — NOT APPLICABLE) ..................................................................... 539
SUBPART D — CHANGES TO TYPE-CERTIFICATES AND RESTRICTED TYPECERTIFICATES .................................................................................................. 539
21.B.105 Type-certification basis, environmental protection requirements and
operational suitability data certification basis for a major change to a type-certificate
............................................................................................................................. 539
21.B.107 Issuance of an approval of a change to a type-certificate ......................... 539
GM 21.B.107 and 21.B.111 Operational suitability data (OSD) considerations for the
approval of changes to type certificates (TCs) or supplemental type certificates (STCs)
................................................................................................................................... 540
GM 21.A.21(b), 21.A.95(c), 21.A.97(c), 21.A.115(c), 21.B.103(b), 21.B.107(b) and
21.B.111(b) Approval of operational suitability data (OSD)...................................... 540
SUBPART E — SUPPLEMENTAL TYPE-CERTIFICATES .......................................... 541
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21.B.109 Type-certification basis, environmental protection requirements and
operational suitability data certification basis for a supplemental type-certificate .. 541
21.B.111 Issuance of a supplemental type-certificate ............................................. 541
GM 21.B.107 and 21.B.111 Operational suitability data (OSD) considerations for the
approval of changes to type certificates (TCs) or supplemental type certificates (STCs)
................................................................................................................................... 542
GM 21.A.21(b), 21.A.95(c), 21.A.97(c), 21.A.115(c), 21.B.103(b), 21.B.107(b) and
21.B.111(b) Approval of operational suitability data (OSD)...................................... 542
SUBPART F — PRODUCTION WITHOUT PRODUCTION ORGANISATION APPROVAL
....................................................................................................................... 543
21.B.115 Means of compliance .............................................................................. 543
21.B.120 Investigation [applicable until 6 March 2023] / 21.B.120 Initial certification
procedure [applicable from 7 March 2023 - Regulation (EU) 2022/203] .................. 543
AMC 21.B.120(a) Investigation team – Qualification criteria for the investigation team
members ................................................................................................................... 544
AMC 21.B.120(c)(1) Evaluation of applications......................................................... 544
GM1 21.A.139, 21.A.157, 21.A.239, 21.A.257, 21.B.120, 21.B.140, 21.B.220, 21.B.235
and 21.B.240 The use of information and communication technologies (ICT) for
performing remote audits ......................................................................................... 547
GM 21.B.120(c)(3) Investigation preparation and planning ..................................... 549
GM 21.B.120(c)(5) and (6) Auditing and investigation findings ................................ 549
21.B.125 Findings [applicable until 6 March 2023] / 21.B.125 Findings and corrective
actions; observations [applicable from 7 March 2023 - Regulation (EU) 2022/203] .. 550
GM 21.B.125(a) Objective evidence.......................................................................... 551
21.B.130 Issue of letter of agreement .................................................................... 552
AMC 21.B.130 Issue of the letter of agreement ....................................................... 552
GM 21.B.130(b) Issue of the letter of agreement ..................................................... 552
21.B.135 Maintenance of the letter of agreement .................................................. 552
21.B.140 Amendment of a letter of agreement ...................................................... 553
AMC 21.B.140 Amendment of a letter of agreement ............................................... 553
GM1 21.A.139, 21.A.157, 21.A.239, 21.A.257, 21.B.120, 21.B.140, 21.B.220, 21.B.235
and 21.B.240 The use of information and communication technologies (ICT) for
performing remote audits ......................................................................................... 553
21.B.145 Limitation, suspension and revocation of a letter of agreement ............... 555
21.B.150 Record-keeping ....................................................................................... 555
GM 21.B.150(d) Record keeping – Traceability of release certificates ..................... 556
SUBPART G — PRODUCTION ORGANISATION APPROVAL ................................. 557
21.B.215 Means of compliance .............................................................................. 557
21.B.220 Investigation [applicable until 6 March 2023] / 21.B.220 Initial certification
procedure [applicable from 7 March 2023 - Regulation (EU) 2022/203] .................. 557
GM1 21.A.139, 21.A.157, 21.A.239, 21.A.257, 21.B.120, 21.B.140, 21.B.220, 21.B.235
and 21.B.240 The use of information and communication technologies (ICT) for
performing remote audits ......................................................................................... 558
GM-ELA No 1 to 21.B.220 Investigation ................................................................... 560
GM-ELA No 1 to 21.B.220(a) Investigation team ...................................................... 560
GM 21.B.220(a) Investigation team .......................................................................... 561
AMC-ELA No 1 to 21.B.220(b) Extent of the investigation ....................................... 561
AMC 21.B.220(c) Procedures for investigation – Evaluation of applications............ 562
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AMC-ELA No 1 to 21.B.220(c) Procedures for investigation – Evaluation of applications
................................................................................................................................... 563
AMC-ELA No 2 to 21.B.220(c) Procedures for investigation – General .................... 564
GM No 1 to 21.B.220(c) Procedures for investigation – Investigation preparation and
planning ..................................................................................................................... 566
GM No 2 to 21.B.220(c) Procedures for investigation – General............................. 567
GM No 3 to 21.B.220(c) Procedures for investigation – POA applications received from
organisations with facilities/partners/ suppliers/sub-contractors located in a third
country ...................................................................................................................... 582
GM No 4 to 21.B.220(c) Procedures for investigation – Competent authority
surveillance of suppliers of a POA holder located in other Member States ............. 583
21.B.221 Oversight principles ................................................................................ 589
21.B.222 Oversight programme ............................................................................. 590
21.B.225 Findings [applicable until 6 March 2023] / 21.B.225 Findings and corrective
actions; observations [applicable from 7 March 2023 - Regulation (EU) 2022/203].. 591
GM 21.B.225(a) Objective evidence.......................................................................... 593
AMC 21.B.225(a) Notification of findings.................................................................. 593
21.B.230 Issue of certificate ................................................................................... 593
AMC No 1 to 21.B.230 Issue of the certificate .......................................................... 593
GM-ELA No 1 to 21.B.230 Issue of certificate .......................................................... 594
21.B.235 Continued surveillance ............................................................................ 594
AMC-ELA No 1 to 21.B.235 Continued surveillance ................................................. 595
GM1 21.A.139, 21.A.157, 21.A.239, 21.A.257, 21.B.120, 21.B.140, 21.B.220, 21.B.235
and 21.B.240 The use of information and communication technologies (ICT) for
performing remote audits ......................................................................................... 595
GM-ELA No 1 to 21.B.235 Continued surveillance .................................................... 597
GM 21.B.235(a)(4) Guide to the conduct of monitoring production standards. ...... 598
GM 21.B.235(b) Maintenance of the POA - Work allocation within the competent
authority .................................................................................................................... 599
GM 21.B.235(b) and (c) Continued surveillance ....................................................... 599
AMC 21.B.235(c) Continuation of POA ..................................................................... 599
21.B.240 Amendment of a production organisation approval [applicable until 6 March
2023] / 21.B.240 Changes in production management system [applicable from 7 March
2023 - Regulation (EU) 2022/203] .......................................................................... 600
AMC No 1 to 21.B.240 Application for significant changes or variation of scope and
terms of the POA ....................................................................................................... 600
AMC-ELA No 1 to 21.B.240 Amendment of a production organisation approval .... 602
GM1 21.A.139, 21.A.157, 21.A.239, 21.A.257, 21.B.120, 21.B.140, 21.B.220, 21.B.235
and 21.B.240 The use of information and communication technologies (ICT) for
performing remote audits ......................................................................................... 602
21.B.245 Suspension and revocation of a production organisation approval ........... 604
AMC-ELA No 1 to 21.B.245 Suspension and revocation of a production organisation
approval..................................................................................................................... 605
GM 21.B.245 Continued validity ............................................................................... 605
AMC 21.B.245 Corrective action plan ....................................................................... 605
21.B.260 Record-keeping ....................................................................................... 606
SUBPART H — CERTIFICATES OF AIRWORTHINESS AND RESTRICTED CERTIFICATES
OF AIRWORTHINESS ........................................................................................ 607
21.B.320 Investigation ........................................................................................... 607
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GM 21.B.320(b)(6) Investigation ............................................................................... 607
21.B.325 Issue of airworthiness certificate [applicable until 6 March 2023] / 21.B.325
Issuance of airworthiness certificate [applicable from 7 March 2023 - Regulation (EU)
2022/203] ............................................................................................................. 607
GM 21.B.325(a) Airworthiness certificates ............................................................... 608
GM 21.B.325(b) Completion of the Airworthiness Review Certificate by a Member
State .......................................................................................................................... 608
21.B.326 Certificate of airworthiness ..................................................................... 608
21.B.327 Restricted certificate of airworthiness .................................................... 609
21.B.330 Suspension and revocation of certificates of airworthiness and restricted
certificates of airworthiness .................................................................................. 610
21.B.345 Record-keeping ....................................................................................... 610
SUBPART I — NOISE CERTIFICATES................................................................... 611
21.B.420 Investigation ........................................................................................... 611
21.B.425 Issue of noise certificates [applicable until 6 March 2023] / 21.B.425 Issuance
of noise certificates [applicable from 7 March 2023 - Regulation (EU) 2022/201] .... 611
GM 21.B.425(a) Noise certificates ............................................................................ 611
21.B.430 Suspension and revocation of a noise certificate ...................................... 614
21.B.445 Record-keeping ....................................................................................... 615
SUBPART J — DESIGN ORGANISATION APPROVAL ........................................... 616
21.B.430 Initial certification procedure .................................................................. 616
21.B.431 Oversight principles ................................................................................ 616
21.B.432 Oversight programme ............................................................................. 617
21.B.433 Findings and corrective actions; observations .......................................... 618
21.B.435 Changes in the design management system ............................................. 619
SUBPART K — PARTS AND APPLIANCES ........................................................... 621
(SUBPART L — NOT APPLICABLE) ..................................................................... 621
SUBPART M — REPAIRS ................................................................................... 621
21.B.450 Type-certification basis and environmental protection requirements for a
repair design approval........................................................................................... 621
21.B.453 Issuance of a repair design approval ........................................................ 621
(SUBPART N — NOT APPLICABLE) .................................................................... 622
SUBPART O — EUROPEAN TECHNICAL STANDARD ORDER AUTHORISATIONS ... 622
21.B.480 Issuance of an ETSO authorisation ........................................................... 622
SUBPART P — PERMIT TO FLY .......................................................................... 623
21.B.520 Investigation ........................................................................................... 623
AMC 21.B.520(b) Application for a permit to fly....................................................... 623
21.B.525 Issue of permits to fly [applicable until 6 March 2023] / 21.B.525 Issuance of a
permit to fly [applicable from 7 March 2023 - Regulation (EU) 2022/203] ............... 624
21.B.530 Revocation of permits to fly .................................................................... 624
21.B.545 Record-keeping ....................................................................................... 625
SUBPART Q — IDENTIFICATION OF PRODUCTS, PARTS AND APPLIANCES ......... 626
APPENDICES TO ANNEX I .................................................................... 627
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Appendix I — Authorised Release Certificate — EASA Form 1 referred to in Annex
I (Part 21) ........................................................................................................ 628
Appendix II — EASA Form 15a and 15c — Airworthiness Review Certificate ..... 634
Appendix III — Permit to Fly — EASA Form 20a ................................................ 637
Appendix IV — Permit to Fly (issued by approval organisations) — EASA Form 20b
....................................................................................................................... 638
Appendix V — Restricted Certificate of Airworthiness — EASA Form 24 ........... 639
Appendix VI — Certificate of Airworthiness — EASA Form 25........................... 640
Appendix VII — Noise Certificate — EASA Form 45 .......................................... 641
Appendix VIII — Aircraft statement of conformity — EASA Form 52 ................. 642
Appendix IX — Certificate of release to service — EASA Form 53 ..................... 648
Appendix X — Production Organisation Approval Certificate — EASA Form 55 . 650
Appendix XI – Letter of Agreement – EASA Form 65 [applicable until 6 March
2023] / Letter of agreement for production without a production organisation
approval – EASA Form 65 [applicable from 7 March 2023 - Regulation (EU)
2022/201] ....................................................................................................... 654
Appendix XII — Categories of flight tests and associated flight test crew
qualifications .................................................................................................. 658
AMC No 1 to Appendix XII – Training courses for Lead Flight Test Engineers (LFTEs) 662
AMC No 2 to Appendix XII – Conditions for appointment of Lead Flight Test Engineers
(LFTEs) – Medical fitness........................................................................................ 668
AMC No 3 to Appendix XII – Demonstration of compliance with competence level 1 or
level 2 requirements ............................................................................................. 668
GM No 1 to Appendix XII – Lead Flight Test Engineer (LFTE) .................................... 669
GM No 2 to Appendix XII – Competence and experience of pilots for Category 3 and
Category 4 flight tests and of Lead Flight Test Engineers (LFTEs) ............................. 672
GM No 3 to Appendix XII. Demonstration of compliance with competence level 1 or
level 2 requirements ............................................................................................. 672
Annex II 673
Annex III 674
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COVER REGULATION
COMMISSION REGULATION (EU) No 748/2012
of 3 August 2012
laying down implementing rules for the airworthiness and environmental certification of aircraft and related
products, parts and appliances, as well as for the certification of design and production organisations
(recast)
Regulation (EU) No 748/2012
THE EUROPEAN COMMISSION,
Having regard to the Treaty on the Functioning of the European Union,
Having regard to Regulation (EC) No 216/2008 of the European Parliament and of the Council of
20 February 2008 on common rules in the field of civil aviation and establishing a European Aviation
Safety Agency, and repealing Council Directive 91/670/EEC, Regulation (EC) No 1592/2002 and
Directive 2004/36/EC1, and in particular Articles 5(5) and 6(3) thereof,
Whereas:
(1)
Commission Regulation (EC) No 1702/2003 of 24 September 2003 laying down implementing
rules for the airworthiness and environmental certification of aircraft and related products,
parts and appliances, as well as for the certification of design and production organisations2 has
been substantially amended several times3. Since further amendments are to be made, it should
be recast in the interests of clarity.
(2)
Regulation (EC) No 216/2008 establishes common essential requirements to provide for a high
uniform level of civil aviation safety and environmental protection. It requires the Commission
to adopt the necessary implementing rules to ensure their uniform application. It establishes
the ‘European Aviation Safety Agency’ (hereinafter referred to as the ‘Agency’) to assist the
Commission in the development of such implementing rules.
(3)
It is necessary to lay down common technical requirements and administrative procedures to
ensure the airworthiness and environmental compatibility of aeronautical products, parts and
appliances, subject to Regulation (EC) No 216/2008. Such requirements and procedures should
specify the conditions to issue, maintain, amend, suspend or revoke the appropriate
certificates.
(4)
Organisations involved in the design and production of products, parts and appliances should
be required to comply with certain technical requirements in order to demonstrate their
capability and means to discharge their obligations and associated privileges. The Commission
is required to lay down measures to specify conditions to issue, maintain, amend, suspend or
revoke certificates attesting such compliance.
(5)
In laying down measures for the implementation of common essential requirements in the field
of airworthiness, the Commission must take care that they reflect the state of the art and the
best practices, take into account worldwide aircraft experience and scientific and technical
1
OJ L 79, 19.3.2008, p. 1.
2
OJ L 243, 27.9.2003, p. 6.
3
See Annex II.
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progress and allow for immediate reaction to established causes of accidents and serious
incidents.
(6)
The need to ensure uniformity in the application of common airworthiness and environmental
requirements for aeronautical products, parts and appliances requires that common
procedures be followed by the competent authorities of the Member States and, where
applicable, the Agency to assess compliance with these requirements. The Agency should
develop certification specifications and guidance material to facilitate the necessary regulatory
uniformity.
(7)
It is necessary to recognise the continuing validity of certificates issued before the entry into
force of Regulation (EC) No 1702/2003, in accordance with Article 69 of Regulation (EC)
No 216/2008.
(8)
In order to maintain a high uniform level of aviation safety in Europe, it is necessary to introduce
changes to requirements and procedures for the certification of aircraft and related products,
parts and appliances and of design and production organisations, in particular to elaborate the
rules related to the demonstration of compliance with the type-certification basis and
environmental protection requirements and to introduce the possibility to choose to comply
with later standards for changes to type-certificates.
(9)
The concept and complexity of auxiliary power units (APU) resembles that of aircraft engines
and in some cases APU designs are even derived from engine designs. Changes to provisions for
repairs to APU are therefore needed to restore consistency with repairs process to engines.
(10) In order to subject non-complex motor-powered aircraft, recreational aircraft and related
products, parts and appliances to measures that are proportionate to their simple design and
type of operation, while maintaining a high uniform level of aviation safety in Europe, it is
necessary to introduce changes to requirements and procedures for the certification of those
aircraft and related products, parts and appliances and of design and production organisations
and in particular, for the owners of European Light Aircraft below 2 000 kg (ELA2) or below
1 200 kg (ELA1), to introduce the possibility to accept certain not safety critical parts for
installation without an EASA Form 1.
(11) The Agency prepared draft implementing rules and submitted them as opinions No 01/2009 on
‘Possibility to deviate from airworthiness code in case of design changes’, No 02/2009 on ‘Repair
and design changes to European Technical Standard Order’, No 01/2010 on ‘SubPart J DOA’ and
Opinion No 01/2011 on ‘ELA Process and “standard changes and repairs” ’ to the Commission
in accordance with Article 19(1) of Regulation (EC) No 216/2008.
(12) The measures provided for in this Regulation are in accordance with the opinion of the
European Aviation Safety Agency Committee established by Article 65(1) of Regulation (EC)
No 216/2008,
HAS ADOPTED THIS REGULATION:
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Article 1 Scope and definitions
Regulation (EU) 2020/570
1.
2.
This Regulation lays down, in accordance with Article 5(5) and Article 6(3) of Regulation (EC)
No 216/2008, common technical requirements and administrative procedures for the
airworthiness and environmental certification of products, parts and appliances specifying:
(a)
the issue of type-certificates, restricted type-certificates, supplemental type-certificates
and changes to those certificates;
(b)
the issue of certificates of airworthiness, restricted certificates of airworthiness, permits
to fly and authorised release certificates;
(c)
the issue of repair design approvals;
(d)
the showing of compliance with environmental protection requirements;
(e)
the issue of noise certificates;
(f)
the identification of products, parts and appliances;
(g)
the certification of certain parts and appliances;
(h)
the certification of design and production organisations;
(i)
the issue of airworthiness directives.
For the purpose of this Regulation, the following definitions shall apply:
(a)
‘JAA’ means the ‘Joint Aviation Authorities’;
(b)
‘JAR’ means ‘Joint Aviation Requirements’;
(c)
‘Part 21’ means the requirements and procedures for the certification of aircraft and
related products, parts and appliances, and of design and production organisations laid
down in Annex I to this Regulation;
(d)
[deleted]
(e)
‘principal place of business’ means the head office or registered office of the undertaking
within which the principal financial functions and operational control of the activities
referred to in this Regulation are exercised;
(f)
‘article’ means any part and appliance to be used on civil aircraft;
(g)
‘ETSO’ means European Technical Standard Order. The European Technical Standard
Order is a detailed airworthiness specification issued by the European Aviation Safety
Agency (the 'Agency') to ensure compliance with the requirements of this Regulation as
a minimum performance standard for specified articles;
(h)
‘EPA’ means European Part Approval. European Part Approval of an article means the
article has been produced in accordance with approved design data not belonging to the
type-certificate holder of the related product, except for ETSO articles;
(i)
‘ELA1 aircraft’ means the following manned European Light Aircraft:
(i)
an aeroplane with a Maximum Take-off Mass (MTOM) of 1 200 kg or less that is
not classified as complex motor-powered aircraft;
(ii)
a sailplane or powered sailplane of 1 200 kg MTOM or less;
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(iii)
a balloon with a maximum design lifting gas or hot air volume of not more than
3 400 m3 for hot air balloons, 1 050 m3 for gas balloons, 300 m3 for tethered gas
balloons;
(iv)
an airship designed for not more than 4 occupants and a maximum design lifting
gas or hot air volume of not more than 3 400 m3 for hot air airships and 1 000 m3
for gas airships;
‘ELA2 aircraft’ means the following manned European Light Aircraft:
(i)
an aeroplane with a Maximum Take-off Mass (MTOM) of 2 000 kg or less that is
not classified as complex motor-powered aircraft;
(ii)
a sailplane or powered sailplane of 2 000 kg MTOM or less;
(iii)
a balloon;
(iv)
a hot air airship;
(v)
a gas airship complying with all of the following characteristics:
— 3% maximum static heaviness,
— Non-vectored thrust (except reverse thrust),
—
Conventional and simple design of: structure, control system and ballonet
system,
—
(vi)
(k)
Non-power assisted controls;
a Very Light Rotorcraft.
“Operational Suitability Data (OSD)” means data, which are part of an aircraft typecertificate, restricted type- certificate or supplemental type-certificate, consisting of all
of the following:
(i)
the minimum syllabus of pilot type rating training, including determination of type
rating;
(ii)
the definition of scope of the aircraft validation source data to support the
objective qualification of simulators or the provisional data to support their interim
qualification;
(iii)
the minimum syllabus of maintenance certifying staff type rating training, including
determination of type rating;
(iv)
determination of type or variant for cabin crew and type specific data for cabin
crew;
(v)
the master minimum equipment list.
Article 2 Products, parts and appliances certification
Regulation (EU) No 748/2012
1.
Products, parts and appliances shall be issued certificates as specified in Annex I (Part 21).
2.
By way of derogation from point 1, aircraft, including any installed product, part and appliance,
which are not registered in a Member State shall be exempted from the provisions of Subparts H
and I of Annex I (Part 21). They shall also be exempted from the provisions of Subpart P of
Annex I (Part 21) except when aircraft identification marks are prescribed by a Member State.
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Article 3 Continued validity of type-certificates and related
certificates of airworthiness
Regulation (EU) No 69/2014
1.
With regard to products which had a type-certificate, or a document allowing the issuing of a
certificate of airworthiness, issued before 28 September 2003 by a Member State, the following
provisions shall apply:
(a)
the product shall be deemed to have a type-certificate issued in accordance with this
Regulation when:
(i)
its type-certification basis was:
— the JAA type-certification basis, for products that have been certificated under
JAA procedures, as defined in their JAA data sheet, or
—
for other products, the type-certification basis as defined in the
type-certificate data sheet of the State of design, if that State of design was:
— a Member State, unless the Agency determines, taking into account, in
particular, certification specifications used and service experience, that
such type-certification basis does not provide for a level of safety
equivalent to that required by Regulation (EC) No 216/2008 and this
Regulation, or
— a State with which a Member State had concluded a bilateral
airworthiness agreement or similar arrangement under which such
products have been certificated on the basis of the certification
specifications of that State of design, unless the Agency determines that
such certification specifications or service experience or the safety
system of that State of design do not provide for a level of safety
equivalent to that required by Regulation (EC) No 216/2008 and this
Regulation.
The Agency shall make a first evaluation of the implication of the provisions of the
second indent in view of producing an opinion to the Commission including
possible amendments to this Regulation;
(b)
(ii)
the environmental protection requirements were those laid down in Annex 16 to
the Chicago Convention, as applicable to the product;
(iii)
the applicable airworthiness directives were those of the State of design.
The design of an individual aircraft, which was on the register of a Member State before
28 September 2003, shall be deemed to have been approved in accordance with this
Regulation when:
(i)
its basic type design was part of a type-certificate referred to in point (a);
(ii)
all changes to this basic type design, which were not under the responsibility of the
type-certificate holder, had been approved; and
(iii)
the airworthiness directives issued or adopted by the Member State of registry
before 28 September 2003 were complied with, including any variations to the
airworthiness directives of the State of design agreed by the Member State of
registry.
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3.
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With regard to products for which a type-certification process was proceeding through the JAA
or a Member State on 28 September 2003, the following shall apply:
(a)
if a product is under certification by several Member States, the most advanced project
shall be used as the reference;
(b)
points 21.A.15(a), (b) and (c) of Annex I (Part 21) shall not apply;
(c)
by way of derogation from point 21.A.17A of Annex I (Part 21), the type-certification basis
shall be that established by the JAA or, where applicable, the Member State at the date
of application for the approval;
(d)
compliance findings made under JAA or Member State procedures shall be deemed to
have been made by the Agency for the purpose of complying with points 21.A.20(a) and
(d) of Annex I (Part 21).
With regard to products that have a national type-certificate, or equivalent, and for which the
approval process of a change carried out by a Member State was not finalised at the time when
the type-certificate had to be in accordance with this Regulation, the following shall apply:
(a)
if an approval process is being carried out by several Member States, the most advanced
project shall be used as the reference;
(b)
point 21.A.93 of Annex I (Part 21) shall not apply;
(c)
the applicable type-certification basis shall be that established by the JAA or, where
applicable, the Member State at the date of application for the approval of change;
(d)
compliance findings made under JAA or Member State procedures shall be deemed to
have been made by the Agency for the purpose of complying with points 21.A.103(a)(2)
and (b) of Annex I (Part 21).
4.
With regard to products that had a national type-certificate, or equivalent, and for which the
approval process of a major repair design carried out by a Member State was not finalised at
the time when the type-certificate had to be determined in accordance with this Regulation,
compliance findings made under JAA or Member State procedures shall be deemed to have
been made by the Agency for the purpose of complying with point 21.A.433(a) of Annex I
(Part 21).
5.
A certificate of airworthiness issued by a Member State attesting conformity with a
type-certificate determined in accordance with point 1 shall be deemed to comply with this
Regulation.
Article 4 Continued validity of supplemental type-certificates
Regulation (EU) No 748/2012
1.
With regard to supplemental type-certificates issued by a Member State under JAA procedures
or applicable national procedures and with regard to changes to products proposed by persons
other than the type-certificate holder of the product, which were approved by a Member State
under applicable national procedures, if the supplemental type-certificate, or change, was valid
on 28 September 2003, the supplemental type-certificate, or change shall be deemed to have
been issued under this Regulation.
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With regard to supplemental type-certificates for which a certification process was being
carried out by a Member State on 28 September 2003 under applicable JAA supplemental typecertificate procedures and with regard to major changes to products, proposed by persons
other than the type-certificate holder of the product, for which a certification process was being
carried out by a Member State on 28 September 2003 under applicable national procedures,
the following shall apply:
(a)
if a certification process was being carried out by several Member States, the most
advanced project shall be used as the reference;
(b)
point 21.A.113 (a) and (b) of Annex I (Part 21) shall not apply;
(c)
the applicable certification basis shall be that established by the JAA or, where applicable,
the Member State at the date of application for the supplemental type-certificate or the
major change approval;
(d)
the compliance findings made under JAA or Member State procedures shall be deemed
to have been made by the Agency for the purpose of complying with point 21.A.115(a) of
Annex I (Part 21).
Article 5
Regulation (EU) No 69/2014
(deleted by Regulation (EU) No 69/2014, 27.01.2014)
Article 6 Continued validity of parts and appliances certificates
Regulation (EU) No 748/2012
1.
Approvals of parts and appliances issued by a Member State and valid on 28 September 2003
shall be deemed to have been issued in accordance with this Regulation.
2.
With regard to parts and appliances for which an approval or authorisation process was being
carried out by a Member State on 28 September 2003, the following shall apply:
(a)
if an authorisation process was being carried out by several Member States, the most
advanced project shall be used as the reference;
(b)
point 21.A.603 of Annex I (Part 21) shall not apply;
(c)
the applicable data requirements laid down in point 21.A.605 of Annex I (Part 21) shall
be those established by the relevant Member State, at the date of application for the
approval or authorisation;
(d)
compliance findings made by the relevant Member State shall be deemed to have been
made by the Agency for the purpose of complying with point 21.A.606(b) of Annex I
(Part 21).
Article 7 Permit to fly
Regulation (EU) No 748/2012
The conditions determined before 28 March 2007 by the Member States for permits to fly or other
airworthiness certificate issued for aircraft which did not hold a certificate of airworthiness or
restricted certificate of airworthiness issued under this Regulation, are deemed to have been
determined in accordance with this Regulation, unless the Agency has determined before
28 March 2008 that such conditions do not provide for a level of safety equivalent to that required by
Regulation (EC) No 216/2008 or this Regulation.
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Article 7a Operational suitability data
Regulation (EU) No 69/2014
1.
The holder of an aircraft type-certificate issued before 17 February 2014 intending to deliver a
new aircraft to an EU operator on or after 17 February 2014 shall obtain approval in accordance
with point 21.A.21(e) of Annex I (Part 21) except for the minimum syllabus of maintenance
certifying staff type rating training and except for aircraft validation source data to support
the objective qualification of simulator(s). The approval shall be obtained not later than
18 December 2015 or before the aircraft is operated by an EU operator, whichever is the latest.
The operational suitability data may be limited to the model which is delivered.
2.
The applicant for an aircraft type-certificate for which the application was filed before
17 February 2014 and for which a type-certificate is not issued before 17 February 2014 shall
obtain approval in accordance with point 21.A.21(e) of Annex I (Part 21) except for the minimum
syllabus of maintenance certifying staff type rating training and for aircraft validation source
data to support the objective qualification of simulator(s). The approval shall be obtained not
later than 18 December 2015 or before the aircraft is operated by an EU operator, whichever is
the latest. Compliance findings made by the authorities in Operational Evaluation Board
processes conducted under the responsibility of the JAA or the Agency before the entry into
force of this Regulation shall be accepted by the Agency without further verification.
3.
Operational Evaluation Board reports and master minimum equipment lists issued in
accordance with JAA procedures or by the Agency before the entry into force of this Regulation
shall be deemed to constitute the operational suitability data approved in accordance with
point 21.A.21(e) of Annex I (Part 21) and shall be included in the relevant type-certificate.
Before 18 June 2014 the relevant type-certificate holders shall propose the Agency a division of
the operational suitability data in mandatory data and non-mandatory data.
4.
Holders of a type-certificate including operational suitability data shall be required to obtain
approval of an extension of the scope of their design organisation approval or procedures
alternative to design organisation approval, as applicable, to include operational suitability
aspects before 18 December 2015.
Article 8 Design organisations
Regulation (EU) No 748/2012
1.
An organisation responsible for the design of products, parts and appliances or for changes or
repairs thereto shall demonstrate its capability in accordance with Annex I (Part 21).
2.
By way of derogation from point 1, an organisation whose principal place of business is in a nonmember State may demonstrate its capability by holding a certificate issued by that State for
the product, part and appliance for which it applies, provided:
3.
(a)
that State is the State of design; and
(b)
the Agency has determined that the system of that State includes the same independent
level of checking of compliance as provided by this Regulation, either through an
equivalent system of approvals of organisations or through direct involvement of the
competent authority of that State.
Design organisation approvals issued or recognised by a Member State in accordance with the
JAA requirements and procedures and valid before 28 September 2003 shall be deemed to
comply with this Regulation.
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By way of derogation from points 21.B.433(d)(1) and (2) of Annex I (Part 21), a design
organisation that holds a valid approval certificate issued in accordance with Annex I (Part 21)
may correct, until 7 March 2025, any findings of non-compliance related to the Annex I
requirements introduced by Commission Delegated Regulation (EU 2022/2011.
Where after 7 March 2025, the organisation has not closed such findings, the approval
certificate shall be revoked, limited or suspended in whole or in part.
[applicable from 7 March 2023 — Regulation (EU) 2022/201]
Article 9 Production organisations
Regulation (EU) 2021/699
1.
An organisation responsible for the manufacture of products, parts and appliances shall
demonstrate its capability in accordance with the provisions of Annex I (Part 21). This
demonstration of capability is not required for the parts or appliances that an organisation
manufactures which, in accordance with the provisions of Annex I (Part 21), are eligible for
installation in a type-certified product without the need to be accompanied by an authorised
release certificate (i.e. EASA Form 1).
2.
By way of derogation from point 1, a manufacturer whose principal place of business is in a nonmember State may demonstrate its capability by holding a certificate issued by that State for
the product, part and appliance for which it applies, provided:
(a)
that State is the State of manufacture; and
(b)
the Agency has determined that the system of that State includes the same independent
level of checking of compliance as provided by this Regulation, either through an
equivalent system of approvals of organisations or through direct involvement of the
competent authority of that State.
3.
Production organisation approvals issued or recognised by a Member State in accordance with
the JAA requirements and procedures and valid before 28 September 2003 shall be deemed to
comply with this Regulation.
4.
By way of derogation from paragraph 1, the production organisation may apply to the
competent authority for exemptions from the environmental protection requirements referred
to in the first subparagraph of Article 9(2) of Regulation (EU) 2018/1139.
5.
By way of derogation from points 21.B.225(d)(1) and (2) of Annex I (Part 21), a production
organisation that holds a valid approval certificate issued in accordance with Annex I (Part 21)
may correct, until 7 March 2025, any findings of non-compliance related to the Annex I
requirements introduced by Commission Implementing Regulation (EU) 2022/2032.
Where after 7 March 2025the organisation has not closed those findings, the approval
certificate shall be revoked, limited or suspended in whole or in part.
1 Commission Delegated Regulation (EU) 2022/201 of 10 December 2021 amending Regulation (EU) No 748/2012 as regards management
systems and occurrence-reporting systems to be established by design and production organisations, as well as procedures applied by the
Agency, and correcting that Regulation (OJ L 33, …, p. 7)
2
Commission Implementing Regulation (EU) 2022/203 of 14 February 2022 amending Regulation (EU) No 748/2012 as regards
management systems and occurrence-reporting systems to be established by competent authorities, and correcting Regulation (EU) No
748/2012 as regards the issuance of airworthiness review certificates (OJ L 33, 15.2.2022, p. 46
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By way of derogation from points 21.B.125(d)(1) and (2) of Annex I (Part 21), an organisation
that produces products, parts or appliances without an approval certificate and that holds a
valid letter of agreement issued in accordance with Annex I (Part 21) may correct, until
7 March 2025, any findings of non-compliance related to the Annex I requirements introduced
by Implementing Regulation (EU) 2022/203.
Where after 7 March 2025the organisation has not closed those findings, the letter of
agreement shall be revoked, limited or suspended in whole or in part.
[points (5) and (6) applicable from 7 March 2023 - Regulation (EU) 2022/203]
Article 10 Agency measures
Regulation (EU) No 748/2012
1.
The Agency shall develop acceptable means of compliance (hereinafter called "AMC") that
competent authorities, organisations and personnel may use to demonstrate compliance with
the provisions of the Annex I (Part 21) to this Regulation.
2.
The AMC issued by the Agency shall neither introduce new requirements nor alleviate the
requirements of the Annex I (Part 21) to this Regulation.
3.
Without prejudice to Articles 54 and 55 of Regulation (EC) No 216/2008, when the acceptable
means of compliance issued by the Agency are used, the related requirements of the Annex I
(Part 21) to this Regulation shall be considered as met without further demonstration.
Article 11 Repeal
Regulation (EU) No 748/2012
Regulation (EC) No 1702/2003 is repealed.
References to the repealed Regulation shall be construed as references to this Regulation and shall be
read in accordance with the correlation table in Annex III.
Article 12 Entry into force
Regulation (EU) No 748/2012
This Regulation shall enter into force on the twentieth day following that of its publication in the
Official Journal of the European Union.
This Regulation shall be binding in its entirety and directly applicable in all Member States.
Regulation (EU) No 748/2012
Done at Brussels, 3 August 2012
For the Commission
The President
José Manuel BARROSO
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Selected articles1 of related regulations amending to the content of
Regulation No 748/2012
Article 2 of EU 69/2014 on Operational Suitability Data (published on 27 January 2014) – Transitional
Provisions
This Regulation shall enter into force on the twentieth day following that of its publication in the
Official Journal of the European Union.
Points 16 – 34 and point 43 of the Annex2 shall apply to applicants for the approval of a change to a
type-certificate as well as applicants for a supplemental type-certificate from 19 December 2016.
Article 2 of EU 2015/1039 on Flight Testing (published on 30 June 2015) – Transitional Provisions
1.
Member States that at […] [The Publication Office will insert the date of the entry into force]
issued national licences for flight test crew members other than pilots may continue to do so in
accordance with their national law until 31 December 2017. The holders of those licences may
continue to exercise their privileges until that date.
2.
After 31 December 2017, applicants for or holders of a permit to fly may continue to use the
services of pilots engaged in Category Three or Four flight tests referred to in Appendix XII to
Annex I to Regulation (EU) No 748/2012 and of flight test engineers that were conducting flight
test activities in accordance with the applicable rules of national law before that date. Any such
use shall remain limited to the scope of functions of the flight test crew members as established
before 31 December 2017.
The scope of functions of the flight test crew member shall be established by the applicant for or
holder of a permit to fly that uses or plans to use their services, based on the flight test crew members'
flight test experience and training, and on the relevant records of the applicant for or the holder of a
permit to fly. That scope of functions of a flight test crew member shall be made available to the
competent authority.
Any addition or any other amendment to the scope of the functions established for these flight test
crew members by the applicant for or holder of a permit to fly that uses or plans to use their services
shall comply with the requirements of Appendix XII to Annex I to Regulation (EU) No 748/2012.
Article 3 of EU 2015/1039 on Flight Testing – Entry into Force and Application
This Regulation shall enter into force on the twentieth day following that of its publication in the
Official Journal of the European Union.
It shall apply from (…) [The Publication Office will insert the date of the entry into force]
1
These selected articles concern transitional provisions and dates of entry into force and application. All other amending articles have
been included in the consolidation, mainly in the Annex, and - for EU 69/2014 – additionally also in the cover regulation
2
For the content of points 16-34 and 43 consult the Annex to Regulation EU 69/2014.
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However:
(a)
point 5 of the Annex shall apply from 1 July 2015;
(b)
points 2 and 3 of the Annex shall apply from 1 January 2016 to the extent reference is made to
Appendix XII to Annex I of Commission Regulation (EU) 748/2012, point (c) of this Article applies.
(c)
point 6 of the Annex as regards point D of Appendix XII shall apply from 1 January 2018, without
prejudice to requirements already resulting from the Annex I (Part-FCL) to Regulation (EU)
No 1178/2011.
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Annex I
ANNEX I
21.1 General [applicable until 6 March 2023] / 21.1. Competent
authority [applicable from 7 March 2023 - Regulation (EU)
2022/203]
Regulation (EU) No 748/2012
For the purpose of this Annex I (Part 21), ‘competent authority’ shall be:
(a)
for organisations having their principal place of business in a Member State, the authority
designated by that Member State; or the Agency if so requested by that Member State; or
(b)
for organisations having their principal place of business in a non-member State, the Agency.
[applicable until 6 March 2023]
For the purpose of this Annex, the ‘competent authority’ shall be:
(a)
for Section A, Subpart A,
1.
for design organisations, the Agency;
2.
for production organisations that have their principal place of business in a territory for
which a Member State is responsible under the Convention on International Civil
Aviation, signed in Chicago on 7 December 1944(‘the Chicago Convention’), the authority
designated by that Member State or by another Member State in accordance with
Article 64 of Regulation (EU) 2018/1139, or the Agency if the responsibility has been
reallocated to the Agency in accordance with Article 64 or 65 of Regulation
(EU) 2018/1139;
3.
for production organisations that have their principal place of business outside a territory
for which a Member State is responsible under the Chicago Convention, the Agency;
(b)
for Section A, Subparts B, D, E, J, K, M, O and Q, the Agency;
(c)
for Section A, Subparts F and G:
(d)
1.
for natural or legal persons that have their principal place of business in a territory for
which a Member State is responsible under the Chicago Convention, the authority
designated by that Member State or by another Member State in accordance with
Article 64 of Regulation (EU) 2018/1139, or the Agency if the responsibility has been
reallocated to the Agency in accordance with Article 64 or, as regards Subpart G,
Article 65 of Regulation (EU) 2018/1139;
2.
for natural or legal persons that have their principal place of business outside a territory
for which a Member State is responsible under the Chicago Convention, the Agency;
for Section A, Subpart H and I, the authority designated by the Member State where the aircraft
is registered or will be registered:
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(e)
Annex I
for Section A, Subpart P:
1.
for aircraft registered in a Member State, the authority designated by the Member State
of registry;
2.
for unregistered aircraft, the authority designated by the Member State which prescribed
the identification marks;
3.
for the approval of the flight conditions related to the safety of the design, the Agency.
[applicable from 7 March 2023 - Regulation (EU) 2022/203]
21.2 Scope
Regulation (EU) 2022/203
Section A of this Annex establishes the provisions that lay down the rights and obligations of the
applicant for, and holder of, any certificate issued or to be issued in accordance with this Annex.
Section B of this Annex establishes the conditions for conducting the certification oversight and
enforcement tasks as well as the administrative and management system requirements to be
complied with by the competent authority that is responsible for the implementation of Section A of
this Annex.
[applicable from 7 March 2023 - Regulation (EU) 2022/203]
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Annex I
SECTION A — TECHNICAL
REQUIREMENTS
SECTION A — TECHNICAL REQUIREMENTS
SUBPART A — GENERAL PROVISIONS
21.A.1 Scope
Regulation (EU) No 748/2012
This Section establishes general provisions governing the rights and obligations of the applicant for,
and holder of, any certificate issued or to be issued in accordance with this Section.
[applicable until 6 March 2023]
This Subpart establishes the general rights and obligations of the applicant for, and holder of, any
certificate that has been issued or is to be issued in accordance with this Annex.
[applicable from 7 March 2023 — Regulation (EU) 2022/201]
21.A.2 Undertaking by another person than the applicant for, or
holder of, a certificate
Regulation (EU) No 748/2012
The actions and obligations required to be undertaken by the holder of, or applicant for, a certificate
for a product, part or appliance under this Section may be undertaken on its behalf by any other
natural or legal person, provided the holder of, or applicant for, that certificate can show that it has
made an agreement with the other person such as to ensure that the holder's obligations are and will
be properly discharged.
21.A.3A Failures, malfunctions and defects [applicable until 6
March 2023] / 21.A.3A Reporting system [applicable from 7 March
2023 — Regulation (EU) 2022/201]
Regulation (EU) No 748/2012
(a)
System for Collection, Investigation and Analysis of Data.
The holder of a type-certificate, restricted type-certificate, supplemental type-certificate,
European Technical Standard Order (ETSO) authorisation, major repair design approval or any
other relevant approval deemed to have been issued under this Regulation shall have a system
for collecting, investigating and analysing reports of and information related to failures,
malfunctions, defects or other occurrences which cause or might cause adverse effects on the
continuing airworthiness of the product, part or appliance covered by the type-certificate,
restricted type-certificate, supplemental type-certificate, ETSO authorisation, major repair
design approval or any other relevant approval deemed to have been issued under this
Regulation. Information about this system shall be made available to all known operators of the
product, part or appliance and, on request, to any person authorised under other associated
implementing Regulations.
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(b)
(c)
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REQUIREMENTS
Reporting to the Agency
1.
The holder of a type-certificate, restricted type-certificate, supplemental type-certificate,
ETSO authorisation, major repair design approval or any other relevant approval deemed
to have been issued under this Regulation shall report to the Agency any failure,
malfunction, defect or other occurrence of which it is aware related to a product, part,
or appliance covered by the type-certificate, restricted type-certificate, supplemental
type-certificate, ETSO authorisation, major repair design approval or any other relevant
approval deemed to have been issued under this Regulation, and which has resulted in
or may result in an unsafe condition.
2.
These reports shall be made in a form and manner established by the Agency, as soon as
practicable and in any case dispatched not later than 72 hours after the identification of
the possible unsafe condition, unless exceptional circumstances prevent this.
Investigation of Reported Occurrences
1.
When an occurrence reported under point (b), or under points 21.A.129(f)(2) or
21.A.165(f)(2) results from a deficiency in the design, or a manufacturing deficiency, the
holder of the type-certificate, restricted type-certificate, supplemental type-certificate,
major repair design approval, ETSO authorisation, or any other relevant approval deemed
to have been issued under this Regulation, or the manufacturer as appropriate, shall
investigate the reason for the deficiency and report to the Agency the results of its
investigation and any action it is taking or proposes to take to correct that deficiency.
2.
If the Agency finds that an action is required to correct the deficiency, the holder of the
type-certificate, restricted type-certificate, supplemental type-certificate, major repair
design approval, ETSO authorisation, or any other relevant approval deemed to have
been issued under this Regulation, or the manufacturer as appropriate, shall submit the
relevant data to the Agency.
[applicable until 6 March 2023]
(a)
Without prejudice to Regulation (EU) No 376/2014 of the European Parliament and of the
Council1 and its delegated and implementing acts, all natural or legal persons that have applied
for or hold a type-certificate, restricted type-certificate, supplemental type-certificate,
European Technical Standard Order (ETSO) authorisation, major repair design approval or any
other relevant approval deemed to have been issued under this Regulation shall:
1.
establish and maintain a system for collecting, investigating and analysing occurrence
reports in order to identify adverse trends or to address deficiencies and to extract
occurrences whose reporting is mandatory in accordance with point 3 and those which
are reported voluntarily. When the principal place of business is located in a Member
State, a single system may be established to meet the requirements of Regulation
(EU) No 376/2014 of of the European Parliament and of the Council and its implementing
acts and of Regulation (EU) 2018/1139 and its delegated and implementing acts. The
reporting system shall include:
1
Regulation (EU) No 376/2014 of the European Parliament and of the Council of 3 April 2014 on the reporting, analysis and follow-up of
occurrences in civil aviation, amending Regulation (EU) No 996/2010 of the European Parliament and of the Council and repealing Directive
2003/42/EC of the European Parliament and of the Council and Commission Regulations (EC) No 1321/2007 and (EC) No 1330/2007 (OJ L
122, 24.4.2014, p. 18).
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(b)
(c)
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SECTION A — TECHNICAL
REQUIREMENTS
(i)
reports of and information related to failures, malfunctions, defects or other
occurrences which cause or might cause adverse effects on the continuing
airworthiness of the product, part or appliance covered by the type-certificate,
restricted type-certificate, supplemental type-certificate, ETSO authorisation,
major repair design approval or by any other relevant approval deemed to have
been issued under this Regulation;
(ii)
errors, near misses and hazards that do not fall under point (i);
2.
make available to known operators of the product, part or appliance and, on request, to
any person authorised under other implementing or delegated acts the information
about the system established in accordance with point 1, and on how to provide reports
of and information related to failures, malfunctions, defects or other occurrences
referred to in point 1(i);
3.
report to the Agency any failure, malfunction, defect or other occurrence of which it is
aware and is related to a product, part or appliance covered by the type-certificate,
restricted type-certificate, supplemental type- certificate, ETSO authorisation, major
repair design approval or by any other relevant approval deemed to have been issued
under this Regulation, and which has resulted or may result in an unsafe condition.
Without prejudice to Regulation (EU) No 376/2014 of the European Parliament and of the
Council and its delegated and implementing acts, any natural or legal person that holds or has
applied for a production organisation approval certificate under Subpart G of this Section, or
that produces a product, part or appliance under Subpart F of this Section, shall:
1.
establish and maintain a system for collecting and assessing occurrence reports, including
reports on errors, near misses and hazards, in order to identify adverse trends or to
address deficiencies and extract occurrences whose reporting is mandatory in
accordance with points 2 and 3 and those which are reported voluntarily. For
organisations that have their principal place of business in a Member State, a single
system may be established to meet the requirements of Regulation (EU) No 376/2014 of
the European Parliament and of the Council and its implementing acts and of Regulation
(EU) 2018/1139 and its delegated and implementing acts;
2.
report to the responsible design approval holder all the cases where products, parts or
appliances have been released by the production organisation and possible deviations
from the applicable design data have been subsequently identified, and investigate with
the design approval holder to identify those deviations which could lead to an unsafe
condition;
3.
report to the competent authority of the Member State responsible in accordance with
point 21.1 and the Agency the deviations that have been identified in accordance with
point 21.A.3A(b)2 and which could lead to an unsafe condition;
4.
if the production organisation acts as a supplier to another production organisation, also
report to that other organisation all the cases where it has released products, parts or
appliances to that organisation and possible deviations from the applicable design data
have been subsequently identified.
Without prejudice to Regulation (EU) No 376/2014 of the European Parliament and of the
Council and its delegated and implementing acts, any natural or legal person, when reporting
in accordance with points (a)(3), (b)(2), (b)(3) and (b)(4), shall appropriately protect the
confidentiality of the person who reports and of the person(s) mentioned in the report.
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(d)
Without prejudice to Regulation (EU) No 376/2014 of the European Parliament and of the
Council and its delegated and implementing acts, any natural or legal person shall make the
reports referred to in points (a)(3) and (b)(3) in a form and manner established by the Agency
or the competent authority, respectively, and dispatch them as soon as practicable and in any
case not later than 72 hours after the natural or legal person has identified that the occurrence
may lead to a possible unsafe condition, unless exceptional circumstances prevent this.
(e)
Without prejudice to Regulation (EU) No 376/2014 of the European Parliament and of the
Council and its delegated and implementing acts, if an occurrence reported under point (a)(3)
or under point (b)(3) results from a deficiency in the design or a production deficiency, the
holder of the type-certificate, restricted type-certificate, supplemental type-certificate, major
repair design approval, ETSO authorisation or any other relevant approval deemed to have been
issued under this Regulation, or the production organisation as appropriate, shall investigate
the reason for the deficiency and report to the competent authority of the Member State
responsible in accordance with point 21.1 and to the Agency the results of its investigation and
any action it intends to take or proposes to be taken to correct that deficiency.
(f)
If the competent authority finds that action is required to correct the deficiency, the holder of
the type-certificate, restricted type-certificate, supplemental type-certificate, major repair
design approval, ETSO authorisation or any other relevant approval deemed to have been
issued under this Regulation, or the production organisation as appropriate, shall submit the
relevant data to the competent authority upon its request.
[applicable from 7 March 2023 — Regulation (EU) 2022/201]
AMC No 1 to 21.A.3A(a) Collection, investigation and analysis of
data related to Flammability Reduction Means (FRM) reliability
ED Decision 2012/020/R
Holders of a type-certificate, restricted type-certificate, supplemental type-certificate or any other
relevant approval deemed to have been issued under Part 21 and which have included a FRM in their
design should assess on an on-going basis the effects of aeroplane component failures on FRM
reliability. This should be part of the system for collection, investigation and analysis of data required
by 21.A.3A(a). The applicant/holder should do the following:
(a)
Demonstrate effective means to ensure collection of FRM reliability data. The means should
provide data affecting FRM reliability, such as component failures.
(b)
Unless alternative reporting procedures are approved by the Agency, provide a report to the
Agency every six months for the first five years after service introduction. After that period,
continued reporting every six months may be replaced with other reliability tracking methods
found acceptable to the Agency or eliminated if it is established that the reliability of the FRM
meets, and will continue to meet, the exposure specifications of paragraph M25.1 of
Appendix M to CS-25.
(c)
Develop service instructions or revise the applicable aeroplane manual, according to a schedule
approved by the Agency, to correct any failures of the FRM that occur in service that could
increase any fuel tank’s Fleet Average Flammability Exposure to more than that specified by
paragraph M25.1 of Appendix M to CS-25.
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REQUIREMENTS
AMC No 2 to 21.A.3A(a) Collection, investigation and analysis of
data related to ETOPS significant occurrences
ED Decision 2012/020/R
(1)
Holders of a type-certificate, restricted type-certificate, supplemental type-certificate or any
other relevant approval deemed to have been issued under Part 21 and which includes
extended range operation with two-engined aeroplane (ETOPS) capability should implement a
specific tracking, reporting and resolution system for ETOPS significant occurrences, suitable to
ensure the initial and continued fleet compliance with the applicable ETOPS reliability
objectives. This system should be part of the system for collection, investigation and analysis of
data required by 21.A.3A(a).
Appropriate coordination should exist between engine TC holder, propeller TC holder and APU
ETSO authorisation holder with the aircraft TC holder to ensure compliance with the ETOPS
reliability objectives.
(2)
For tracking, reporting and resolution of ETOPS significant occurrences refer to the latest edition
of AMC 20-6 (see AMC-20 document).
AMC3 21.A.3A(a) Failures, malfunctions and defects
ED Decision 2021/001/R
INVESTIGATION AND ANALYSIS
The ‘collection’, ‘investigation’ and ‘analysis’ functions of the system should include specific means to
analyse the collected failures, malfunctions, defects or other occurrences, and the related available
information, to identify adverse trends, to investigate the associated root cause(s), and to establish
any necessary corrective action(s). It should also allow the determination of reportable occurrences
as required under point 21.A.3A(b) — see GM 21.A.3A(b).
In addition, for parts whose failure could lead to an unsafe condition, the ‘analysis’ function of the
system should ensure that reports and information sent, or available, to the design approval holder
are fully investigated so that the full nature of any damage, malfunction, or defect and its effect on
continuing airworthiness is understood. This may then result in changes to the design, to the
instructions for continued airworthiness (ICAs), and/or in establishing a mitigation plan to prevent or
minimise such occurrences in the future, as necessary, and is not limited to those requiring the
involvement of EASA under point 21.A.3A(c).
GM 21.A.3A(a) Failures, malfunctions and defects
ED Decision 2021/001/R
GENERAL
The word ‘collection’ means the setting up of systems and procedures which will enable relevant
failures, malfunctions and defects, or other occurrences, to be properly reported when they occur.
Considerations for the collection of information related to failures, malfunctions and defects, or other
occurrences, should include the analysis of failure rates, the early rejection of parts from service, and
comparison with the certification assumptions.
In the context of point 21.A.3A(a), the phrase ‘[…] or any other relevant approval deemed […]’ refers
to ‘grandfathered’ design approvals under Part 21, as defined in Article 3 of Regulation (EU)
No 748/2012.
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Approval holders of minor changes and minor repairs do not have to comply with the requirements in
point 21.A.3A(a), since according to the classification criteria for design changes and repairs (see
points 21.A.91 and 21.A.435), minor changes and minor repairs have no appreciable effect on the
characteristics affecting the airworthiness of the product.
GM 21.A.3A(b) Failures, malfunctions and defects
ED Decision 2021/001/R
OCCURRENCE REPORTING
For guidance on the reporting of failures, malfunctions, defects or other occurrences which have
resulted or may result in an unsafe condition, refer to the latest edition of AMC 20-8. The GM available
to determine an unsafe condition in accordance with 21.A.3B(b) could be considered to the extent
that 21.A.3A(b)(1) also requires the reporting of occurrences that may result in an unsafe condition.
AMC 21.A.3A(b)(2) Reporting to the Agency
ED Decision 2012/020/R
Within the overall limit of 72 hours the degree of urgency for submission of a report should be
determined by the level of hazard judged to have resulted from the occurrence.
Where an occurrence is judged by the person identifying the possible unsafe condition to have
resulted in an immediate and particularly significant hazard the Agency (or the competent authority
of the Member State as required) expects to be advised immediately and by the fastest possible means
(telephone, fax, email, telex, etc.) of whatever details are available at that time. This initial report must
be followed up by a full written report within 72 hours. A typical example would be an uncontained
engine failure resulting in damage to aircraft primary structure.
Where the occurrence is judged to have resulted in a less immediate and less significant hazard, report
submission may be delayed up to the maximum of three days in order to provide more details.
21.A.3B Airworthiness directives
Regulation (EU) No 748/2012
(a)
An airworthiness directive means a document issued or adopted by the Agency which mandates
actions to be performed on an aircraft to restore an acceptable level of safety, when evidence
shows that the safety level of this aircraft may otherwise be compromised.
(b)
The Agency shall issue an airworthiness directive when:
(c)
1.
an unsafe condition has been determined by the Agency to exist in an aircraft, as a result
of a deficiency in the aircraft, or an engine, propeller, part or appliance installed on this
aircraft; and
2.
that condition is likely to exist or develop in other aircraft.
When an airworthiness directive has to be issued by the agency to correct the unsafe condition
referred to in point (b), or to require the performance of an inspection, the holder of the typecertificate, restricted type-certificate, supplemental type-certificate, major repair design
approval, ETSO authorisation or any other relevant approval deemed to have been issued under
this Regulation, shall:
1.
propose the appropriate corrective action or required inspections, or both, and submit
details of these proposals to the Agency for approval;
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(d)
Annex I
SECTION A — TECHNICAL
REQUIREMENTS
following the approval by the Agency of the proposals referred to under point (1), make
available to all known operators or owners of the product, part or appliance and, on
request, to any person required to comply with the airworthiness directive, appropriate
descriptive data and accomplishment instructions.
An airworthiness directive shall contain at least the following information:
1.
an identification of the unsafe condition;
2.
an identification of the affected aircraft;
3.
the action(s) required;
4.
the compliance time for the required action(s);
5.
the date of entry into force.
AMC1 21.A.3B(b) Failures, malfunctions and defects
ED Decision 2021/001/R
UNSAFE CONDITION
An unsafe condition exists if there is factual evidence (from service experience, analysis or tests) that:
(a)
An event may occur that would result in fatalities, usually with the loss of the aircraft, or reduce
the capability of the aircraft or the ability of the crew to cope with adverse operating conditions
to the extent that there would be:
(i)
A large reduction in safety margins or functional capabilities, or
(ii)
Physical distress or excessive workload such that the flight crew cannot be relied upon to
perform their tasks accurately or completely, or
(iii)
Serious or fatal injury to one or more occupants
unless it is shown that the probability of such an event is within the limit defined by the
applicable certification specifications, or
(b)
There is an unacceptable risk of serious or fatal injury to persons other than occupants, or
(c)
Design features intended to minimise the effects of survivable accidents are not performing
their intended function.
Note 1: Non-compliance with applicable certification specifications is generally considered as an
unsafe condition, unless it is shown that possible events resulting from this non-compliance do
not constitute an unsafe condition as defined under paragraphs (a), (b) and (c).
Note 2: An unsafe condition may exist even though applicable airworthiness requirements are
complied with.
Note 3: The above definition covers the majority of cases where the Agency considers there is an
unsafe condition. There may be other cases where overriding safety considerations may lead
the Agency to issue an airworthiness directive.
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Note 4: There may be cases where events can be considered as an unsafe condition if they occur too
frequently (significantly beyond the applicable safety objectives) and could eventually lead to
consequences listed in paragraph (a) in specific operating environments. Although having less
severe immediate consequences than those listed in paragraph (a), the referenced events may
reduce the capability of the aircraft or the ability of the crew to cope with adverse operating
conditions to the extent that there would be, for example, a significant reduction in safety
margins or functional capabilities, a significant increase in crew workload, or in conditions
impairing crew efficiency, or discomfort to occupants, possibly including injuries.
GM1 21.A.3B(b) Failures, malfunctions and defects
ED Decision 2021/001/R
DETERMINATION OF AN UNSAFE CONDITION
It is important to note that these guidelines are not exhaustive. However, this material is intended to
provide guidelines and examples that will cover most cases, taking into account the applicable
certification requirements.
1.
INTRODUCTION
Certification or approval of a product, part or appliance is a demonstration of compliance with
requirements which are intended to ensure an acceptable level of safety. This demonstration,
however, includes certain accepted assumptions and predicted behaviours, such as:
—
fatigue behaviour is based on analysis supported by test,
— modelling techniques are used for Aircraft Flight Manual performances calculations,
—
the systems safety analyses give predictions of what the systems failure modes,
effects and probabilities may be,
—
the system components’ reliability figures are predicted values derived from
general experience, tests or analysis,
—
the crew is expected to have the skills to apply the procedures correctly, and
—
the aircraft is assumed to be maintained in accordance with the prescribed
instructions for continued airworthiness (ICAs) (or maintenance programme).
In service experience, additional testing, further analysis, etc., may show that certain initially
accepted assumptions are not correct. Thus, certain conditions initially demonstrated as safe,
are revealed by experience as unsafe. In this case, it is necessary to mandate corrective actions
in order to restore a level of safety consistent with the applicable certification requirements.
To support the determination of an unsafe condition, the investigation may need to include
examinations of worn, damaged and time-expired parts / analysis / certification demonstration
/ tests / statistical analysis, and comparison with the certification assumptions.
See AMC1 21.A.3B(b) for the definition of ‘unsafe condition’ used in 21.A.3A(b).
2.
GUIDELINES FOR ESTABLISHING IF A CONDITION IS UNSAFE
The following paragraphs give general guidelines for analysing the reported events and
determining if an unsafe condition exists, and are provided for each type of product, part or
appliance subject to a specific airworthiness approval: type-certificates (TC) or supplemental
type-certificates (STC) for aircraft, engines or propellers, or European Technical Standard
Orders (ETSO).
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This analysis may be qualitative or quantitative, i.e. formal and quantitative safety analyses may
not be available for older or small aircraft. In such cases, the level of analysis should be
consistent with that required by the certification specifications and may be based on
engineering judgement supported by service experience data.
2.1
Analysis method for aircraft
2.1.1 Accidents or incidents without any aircraft, engines, system, propeller or part or
appliance malfunction or failure
When an accident/incident does not involve any component malfunction or failure
but when a crew human factor has been a contributing factor, this should be
assessed from a man-machine interface standpoint to determine whether the
design is adequate or not. Paragraph 2.5 gives further details on this aspect.
2.1.2 Events involving an aircraft, engines, system, propeller or part or appliance failure,
malfunction or defect
The general approach for analysis of in-service events caused by malfunctions,
failures or defects will be to analyse the actual failure effects, taking into account
previously unforeseen failure modes or improper or unforeseen operating
conditions revealed by service experience.
These events may have occurred in service, or have been identified during
maintenance, or been identified as a result of subsequent tests, analyses, or quality
control.
These may result from a design deficiency or a production deficiency (nonconformity with the type design), or from improper maintenance. In this case, it
should be determined if improper maintenance is limited to one aircraft, in which
case an airworthiness directive may not be issued, or if it is likely to be a general
problem due to improper design and/or maintenance procedures, as detailed in
paragraph 2.5.
2.1.2.1
Flight
An unsafe condition exists if:
— There is a significant shortfall of the actual performance
compared to the approved performance (taking into account the
accuracy of the performance calculation method), or
— The handling qualities, although having been found to comply
with the applicable certification specifications at the time of initial
approval, are subsequently shown by service experience not to
comply.
2.1.2.2
Structural or mechanical systems
An unsafe condition exists if the deficiency may lead to a structural or
mechanical failure which:
— Could exist in a Principal Structural Element that has not been
qualified as damage tolerant. Principal Structural Elements are
those which contribute significantly to carrying flight, ground, and
pressurisation loads, and whose failure could result in a
catastrophic failure of the aircraft.
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Typical examples of such elements are listed for large
aeroplanes in AMC 25.571(a) ‘Damage tolerance and fatigue
evaluation of structure’, and in the equivalent material for
rotorcraft.
— Could exist in a Principal Structural Element that has been
qualified as damage tolerant, but for which the established
inspections, or other procedures, have been shown to be, or may
be, inadequate to prevent catastrophic failure.
— Could reduce the structural stiffness to such an extent that the
required flutter, divergence or control reversal margins are no
longer achieved.
— Could result in the loss of a structural piece that could damage
vital parts of the aircraft, cause serious or fatal injuries to persons
other than occupants.
— Could, under ultimate load conditions, result in the liberation of
items of mass that may injure occupants of the aircraft.
— Could jeopardise proper operation of systems and may lead to
hazardous or catastrophic consequences, if this effect has not
been taken adequately into account in the initial certification
safety assessment.
2.1.2.3
Systems
The consequences of reported systems components malfunctions,
failures or defects should be analysed.
For this analysis, the certification data may be used as supporting
material, in particular systems safety analyses.
The general approach for analysis of in-service events caused by
systems malfunctions, failures or defects will be to analyse the actual
failure effects.
As a result of this analysis, an unsafe condition will be assumed if it
cannot be shown that the safety objectives for hazardous and
catastrophic failure conditions are still achieved, taking into account
the actual failure modes and rates of the components affected by the
reported deficiency.
The failure probability of a system component may be affected by:
— A design deficiency (the design does not meet the specified
reliability or performance).
— A production deficiency (non-conformity with the certified type
design) that affects either all components, or a certain batch of
components.
— Improper installation (for instance, insufficient clearance of pipes
to surrounding structure).
— Susceptibility to adverse environment (corrosion, moisture,
temperature, vibrations etc.).
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— Ageing effects (failure rate increase when the component ages).
— Improper maintenance.
When the failure of a component is not immediately detectable
(hidden or latent failures), it is often difficult to have a reasonably
accurate estimation of the component failure rate since the only data
available are usually results of maintenance or flight crew checks. This
failure probability should therefore be conservatively assessed.
As it is difficult to justify that safety objectives for the following
systems are still met, a deficiency affecting these types of systems
may often lead to a mandatory corrective action:
— back up emergency systems, or
— fire detection and protection systems (including shut off means).
Deficiencies affecting systems used during an emergency evacuation
(emergency exits, evacuation assist means, emergency lighting
system ...) and to locate the site of a crash (Emergency Locator
Transmitter) will also often lead to mandatory corrective action.
2.1.2.4
Others
In addition to the above, the following conditions are considered
unsafe:
— There is a deficiency in certain components which are involved in
fire protection or which are intended to minimise/retard the
effects of fire/smoke in a survivable crash, preventing them to
perform their intended function (for instance, deficiency in cargo
liners or cabin material leading to non-compliance with the
applicable flammability requirements).
— There is a deficiency in the lightning or High Intensity Radiated
Fields protection of a system which may lead to hazardous or
catastrophic failure conditions.
— There is a deficiency which could lead to a total loss of power or
thrust due to common mode failure.
If there is a deficiency in systems used to assist in the enquiry
following an accident or serious incident (e.g., Cockpit Voice Recorder,
Flight Data Recorder), preventing them to perform their intended
function, the Agency may take mandatory action.
2.2
Engines
The consequences and probabilities of engine failures have to be assessed at the aircraft
level in accordance with paragraph 2.1, and also at the engine level for those failures
considered as Hazardous in CS E-510.
The latter will be assumed to constitute unsafe conditions, unless it can be shown that
the consequences at the aircraft level do not constitute an unsafe condition for a
particular aircraft installation.
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Propellers
The consequences and probabilities of propeller failures have to be assessed at the
aircraft level in accordance with paragraph 2.1, and also at the propeller level for those
failures considered as hazardous in CS P-70.
The latter will be assumed to constitute unsafe conditions, unless it can be shown that
the consequences at the aircraft level do not constitute an unsafe condition for a
particular aircraft installation.
2.4
Parts and appliances
The consequences and probabilities of equipment failures have to be assessed at the
aircraft level in accordance with paragraph 2.1.
2.5
Human factors aspects in establishing and correcting unsafe conditions
This paragraph provides guidance on the way to treat an unsafe condition resulting from
a maintenance or crew error observed in service.
It is recognised that human factors techniques are under development. However, the
following is a preliminary guidance on the subject.
Systematic review should be used to assess whether the crew or maintenance error raises
issues that require regulatory action (whether in design or other areas), or should be
noted as an isolated event without intervention. This may need the establishment of a
multidisciplinary team (designers, crews, human factors experts, maintenance experts,
operators etc.)
The assessment should include at least the following:
— Characteristics of the design intended to prevent or discourage incorrect assembly or
operation;
— Characteristics of the design that allow or facilitate incorrect operation,
— Unique characteristics of a design feature differing from established design practices;
— The presence of indications or feedback that alerts the operator to an erroneous
condition;
— The existence of similar previous events, and whether or not they resulted (on those
occasions) in unsafe conditions;
— Complexity of the system, associated procedures and training (has the crew a good
understanding of the system and its logic after a standard crew qualification
programme?);
— Clarity/accuracy/availability/currency and practical applicability of manuals and
procedures;
— Any issues arising from interactions between personnel, such as shift changeover,
dual inspections, team operations, supervision (or lack of it), or fatigue.
Apart from a design change, the corrective actions, if found necessary, may consist of
modifications of the manuals, inspections, training programmes, and/or information to the
operators about particular design features. The Agency may decide to make mandatory such
corrective action if necessary.
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GM 21.A.3B(d)(4) Defect correction – Sufficiency of proposed
corrective action
ED Decision 2012/020/R
This GM provides guidelines to assist in establishing rectification campaigns to remedy discovered
defects.
1.
STATUS
This document contains GM of a general nature for use in conjunction with engineering
judgement, to aid airworthiness engineers in reaching decisions in the state of technology at
the material time.
While the main principles of this GM could be applied to small private aeroplanes, helicopters,
etc. the numerical values chosen for illustration are appropriate to large aeroplanes for public
transport.
2.
INTRODUCTION
2.1
Over the years, target airworthiness risk levels underlying airworthiness requirements
have developed on the basis of traditional qualitative airworthiness approaches; they
have been given more precision in recent years by being compared with achieved
airworthiness levels (judged from accident statistics) and by the general deliberations and
discussions which accompanied the introduction of rational performance requirements,
and more recently, the Safety Assessment approach in requirements. Although the target
airworthiness risk level tends to be discussed as a single figure (a fatal accident rate for
airworthiness reasons of not more than 1 in 10 000 000 flights/flying hours for large
aeroplanes) it has to be recognised that the requirements when applied to particular
aircraft types will result in achieved airworthiness levels at certification lying within a
band around the target level and that thereafter, for particular aircraft types and for
particular aircraft, the achieved level will vary within that band from time to time.
2.2
The achieved airworthiness risk levels can vary so as to be below the target levels,
because it is difficult if not impossible to design to the minimum requirements without
being in excess of requirements in many areas; also because aircraft are not always
operated at the critical conditions (e.g., aircraft weight, CG position and operational
speeds; environmental conditions - temperature, humidity, degree of turbulence). The
achieved level may vary so as to be above the target level because of undetected
variations in material standards or build standards, because of design deficiencies,
because of encountering unforeseen combinations of failures and/or combinations of
events, and because of unanticipated operating conditions or environmental conditions.
2.3
There is now a recognition of the need to attempt to monitor the conditions which tend
to increase the level and to take appropriate corrective action when the monitoring
indicates the need to do so in order to prevent the level rising above a predetermined
‘ceiling’.
2.4
The Agency also has a duty in terms of providing the public with aviation services and
therefore should consider the penalties associated with curtailment or even removal (by
‘grounding’) of aviation services when establishing the acceptability of any potential
variation in airworthiness level.
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Thus, the purpose of this GM is:
(a)
To postulate basic principles which should be used to guide the course of actions
to be followed so as to maintain an adequate level of airworthiness risk after a
defect has occurred which, if uncorrected, would involve a potential significant
increase of the level of risk for an aircraft type.
(b)
For those cases where it is not possible fully and immediately to restore an
adequate level of airworthiness risk by any possible alleviating action such as an
inspection or limitation, to state the criteria which should be used in order to assess
the residual increase in risk and to limit it to an appropriate small fraction of the
mean airworthiness through life risk.
DISCUSSION
3.1
Several parameters are involved in decisions on safety matters. In the past the cost of
proposed action has often been compared with the notional 'risk cost', i.e. the cost of a
catastrophe multiplied by its probability of occurrence.
3.2
This can be a useful exercise, but it should be held within the constraint of acceptable
airworthiness risk levels, i.e., within airworthiness risk targets which represent the
maximum levels of risk with which an aircraft design must comply, i.e., in the upper part
of the 'band'. Currently for large aeroplanes the mean airworthiness risk level is set at a
catastrophe rate for airworthiness reasons of not more than one in every ten- million
flights/flying hours. The constraint is overriding in that any option, which could be
permitted on risk cost considerations, or other grounds, is unacceptable if it leads to
significant long-term violation of this safety requirement.
3.3
While it should clearly be the objective of all to react to and eliminate emergency
situations, i.e., those involving a potentially significant increase of airworthiness risk
levels, without unreasonable delay, the Agency should be able finally to rule on what is a
minimum acceptable campaign programme. It has therefore seemed desirable to devise
guidelines to be used in judging whether a proposed campaign of corrective actions is
sufficient in airworthiness terms, and clearly this ought to be based on determining the
summation of the achieved airworthiness risk levels for the aircraft and passengers
during any periods of corrective action and comparing them with some agreed target.
3.4
As the period of corrective action will not be instantaneous (unless by grounding), there
is potentially an increase in the achieved airworthiness risk level possibly to and, without
controls, even above the higher part of the 'band', and the amount by which the level is
above the mean target figure, and the period for which it should be allowed to continue,
has been a matter of some arbitrary judgement.
3.5
It would appear desirable to try to rationalise this judgement. For example, if an aircraft
were to spend 10 % of its life at a level such that the risk of catastrophe was increased by
an order of magnitude, the average rate over its whole life would be doubled which may
not be in the public interest. A more suitable criterion is perhaps one which would allow
an average increase in risk of, say one third on top of the basic design risk when spread
over the whole life of the aircraft an amount which would probably be acceptable within
the concept (See Figure 1). It would then be possible to regard the 'through life' risk to an
aircraft - e.g., a mean airworthiness target of not more than one airworthiness
catastrophe per 10 million (107) hours, as made up of two parts, the first being 3/4 of the
total and catering for the basic design risk and the other being 1/4 of the total, forming
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an allowance to be used during the individual aircraft's whole life for unforeseen
campaign situations such as described above.
3.6
Investigation has shown that a total of ten such occasions might arise during the life of
an individual aircraft.
3.7
Using these criteria, there could then be during each of these emergency periods
(assumed to be ten in number) a risk allowance contributed by the campaign alone of:
1 x 10-7 for 2.5% of the aircraft's life; or
5 x 10-7 for 0.5% of the aircraft's life; or
1 x 10-6 for 0.25% of the aircraft's life; or
1 x 10-5 for 0.025% of the aircraft's life, etc.
without exceeding the agreed 'allowance' set aside for this purpose.
3.8
Thus a 'reaction table' can be created as indicated in Table 1 (the last two columns
assuming a typical aircraft design life of 60,000 hours and an annual utilisation of
3 000 hours per annum) showing the flying or calendar time within which a defect should
be corrected if the suggested targets are to be met.
Estimated catastrophe rate to aircraft due to
the defect under consideration (per a/c hour)
4 x 10-8
5 x 10-8
1 x 10-7
2 x 10-7
5 x 10-7
1 x 10-6
1 x 10-5
Average reaction time for
aircraft at risk (hours)
3 750
3 000
1 500
750
300
150
15
On a calendar basis
15 months
12 months
6 months
3 months
6 weeks
3 weeks
Return to base
Table 1
3.9
These principles may be applied to a single aircraft or a number of aircraft of a fleet but
in calculating risk, all the risk should be attributed to those aircraft which may carry it,
and should not be diluted by including other aircraft in the fleet which are known to be
free of risk. (It is permissible to spread the risk over the whole fleet when a source is
known to exist without knowing where). Where a fleet of aircraft is involved Column 2
may be interpreted as the mean time to rectification and not the time to the last one.
3.10 There is one further constraint. However little effect a situation may have on the 'whole
life' risk of an aircraft, the risk should not be allowed to reach too high a level for any
given flight. Thus while a very high risk could be tolerated for a very short period without
unacceptable degradation of the overall airworthiness target, the few flights involved
would be exposed to a quite unacceptable level of risk. It is therefore proposed that the
Table 1 should have a cut-off at the 2 x 10-6 level so that no flight carries a risk greater
than 20 times the target. At this level the defect is beginning to contribute to a greater
likelihood of catastrophe than that from all other causes, including non-airworthiness
causes, put together. If the situation is worse than this, grounding appears to be the only
alternative with possibly specially authorised high-risk ferry flights to allow the aircraft to
return to base empty. Figures 2 and 3 show a visualisation chart equivalent to Table 1,
giving average rectification time (either in flight hours or months) based on probability of
defect that must be corrected.
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3.11 It will be seen that the above suggestions imply a probability of catastrophe from the
campaign alone of 1.5/10 000 per aircraft during each separate campaign period
(i.e., p = 0.015 per 100 aircraft fleet).
3.12 In addition, in order to take into account large fleet size effect, the expected probability
of the catastrophic event during the rectification period on the affected fleet shall not
exceed 0.1. See Figure 4.
3.13 It should also be noted that in assessing campaign risks against 'design risk', an element
of conservatism is introduced, since the passenger knows only 'total risk'
(i.e. airworthiness plus operations risks) and the fatal accident rate for all reasons is an
order of magnitude greater than that for airworthiness reasons only (i.e., 10-6 as against
10-7). The summated campaign risk allowance proposed by this GM is therefore quite a
small proportion of the total risk to which a passenger is subject. When operating for
short periods at the limit of risk proposed (2 x 10-6 per hour) the defect is however
contributing 100 % more risk than all other causes added together.
3.14 A similar approach is proposed to cover the case of defects associated to hazardous
failure conditions for which the safety objectives defined by the applicable certification
specifications are not met. According to CS 25.1309, the allowable probability for each
hazardous failure condition is set at 10-7 per flight hour compared to 10-9 per flight hour
for a catastrophic failure condition. Figure 5 is showing a visualisation chart giving average
rectification time based on probability of defect that should be corrected. This is similar
to Figure 2 but with lower and upper boundaries adapted to cover the case of hazardous
failure conditions (probabilities of 10-7 and 2x10-4 respectively).
3.15 In addition, in order to take into account large fleet size effect, the expected probability
of the hazardous event during the rectification period on the affected fleet shall not
exceed 0.5. See Figure 6.
4.
GUIDELINES
4.1
The above would lead to the following guidelines for a rectification campaign to remedy
a discovered defect associated to a catastrophic failure condition without grounding the
aircraft:
(i)
Establish all possible alleviating action such as inspections, crew drills, route
restrictions, and other limitations.
(ii)
Identify that part of the fleet, which is exposed to the residual risk, after
compliance has been established with paragraph (i).
(iii)
Using reasonably cautious assumptions, calculate the likely catastrophic rate for
each aircraft carrying the risk in the affected fleet.
(iv)
Compare the speed with which any suggested campaign will correct the deficiency
with the time suggested in Figure 2. The figure should not be used beyond the
2x10-6 level, except for specially authorised flights.
(v)
Also ensure that the expected probability of the catastrophic event during the
rectification period on the affected fleet is in accordance with Figure 4.
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Similarly, the following guidelines would be applicable for a rectification campaign to
remedy a discovered defect associated to a hazardous failure condition without
grounding the aircraft:
(i)
Establish all possible alleviating action such as inspections, crew drills, route
restrictions, and other limitations.
(ii)
Identify that part of the fleet, which is exposed to the residual risk, after
compliance has been established with paragraph (i).
(iii)
Using reasonably cautious assumptions, calculate the likely hazardous rate for each
aircraft carrying the risk in the affected fleet.
(iv)
Compare the speed with which any suggested campaign will correct the deficiency
with the time suggested in Figure 5.
(v)
Also ensure that the expected probability of the hazardous event during the
rectification period on the affected fleet is in accordance with Figure 6.
4.3
It must be stressed that the benefit of these guidelines will be to form a datum for what
is considered to be the theoretically maximum reaction time. A considerable amount of
judgement will still be necessary in establishing many of the input factors and the final
decision may still need to be tempered by non-numerical considerations, but the method
proposed will at least provide a rational 'departure point' for any exercise of such
judgement.
4.4
It is not intended that the method should be used to avoid quicker reaction times where
these can be accommodated without high expense or disruption of services.
Figure 1 - Visualisation Chart for CS-25
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Figure 2 - Visualisation Chart for CS-25 (Flight hours)
Figure 3 - Visualisation Chart for CS-25 (Calendar basis)
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Figure 4 - Visualisation Chart for CS-25 (Flight Hours)
Figure 5 - Visualisation Chart for CS-25 (Flight hours)
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Figure 6 - Visualisation Chart for CS-25 (Flight hours)
21.A.4 Coordination between design and production
Regulation (EU) No 69/2014
Each holder of a type-certificate, restricted type-certificate, supplemental type-certificate, ETSO
authorisation, approval of a change to type-certificate or approval of a repair design, shall collaborate
with the production organisation as necessary to ensure:
(a)
the satisfactory coordination of design and production required by 21.A.122, 21.A.130(b)(3) and
(4), 21.A.133 and 21.A.165(c)(2) and (3) as appropriate; and
(b)
the proper support of the continued airworthiness of the product, part or appliance.
AMC 21.A.4 Transferring of information on eligibility and approval
status from the design holder to production organisations
ED Decision 2014/007/R
Where there is a need to provide (normally outside the design organisation) a visible statement of
approved design data or airworthiness, operational suitability or environmental protection data
associated with the approved design data, the following minimum information must be provided. The
need for a visible statement may be in relation to Company holding a production organisation
approval (POA) in relation to 21.A.163(c).
The procedures related to the use of forms or other electronic means to provide this information must
be agreed with the Agency.
Information to be provided:
Company Name: the name of the responsible design organisation (TC, STC, approval of repair or minor
change design, ETSO authorisation holder) issuing the information.
Date: the date at which the information is released.
Eligibility: indicate the specific products or articles, in case of ETSO authorisation, for which data have
been approved.
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Identification: the part number of the part or appliance. Preference should be given to the use of the
Illustrated Parts Catalogue (IPC) designation. Alternatively the reference to the instruction for
continued airworthiness (e.g., SB, AMM, etc.) could be stated. Marking requirements of Part 21
Section A Subpart Q should be taken into account.
Description: the name or description of the part or document should be given. In the case of a part or
appliance preference should be given to use of IPC designation. The description is to include reference
to any applicable ETSO authorisation or EPA marking, or previous national approvals still valid.
Purpose of data: the reason for the provision of the information should be stated by the design
approval holder.
Examples:
a)
Provision of approved design data to a production organisation to permit manufacture
(AMC No 1 to 21.A.133(b) and (c))
b)
Information regarding eligibility for installation (replacement parts, repair, modification, etc.)
c)
Direct Delivery Authorisation (AMC No 1 to 21.A.133(b) and (c))
If the data is in support of a change or repair, then reference to the aircraft level approval should be
given (make reference to the approved STC, change or repair).
Limitations/Remarks: state any information, either directly or by reference to supporting
documentation that identifies any particular data or limitations (including specific importing
requirements) needed by a production organisation to complete Block 12 of the EASA Form 1.
Approval: provide reference information related to the approval of the data (Agency document or
DOA privilege).
Authorised signature: name and hand-written normal or electronic signature of a person who has
written authority from the design organisation, as indicated in the procedures agreed with the Agency.
21.A.5 Record-keeping
Regulation (EU) 2021/699
All relevant design information, drawings and test reports, including inspection records for the product
or article tested for the purpose of certification, shall be held by the holder of a type-certificate,
restricted type-certificate, supplemental type-certificate, design change or repair design approval or
of an ETSO authorisation at the disposal of the Agency and shall be retained in order to provide the
information necessary to ensure the continued airworthiness, continued validity of the operational
suitability data and the compliance with the applicable environmental protection requirements of the
product or the article.
[applicable until 6 March 2023]
All natural or legal persons that hold or have applied for a type-certificate, restricted type-certificate,
supplemental type-certificate, ETSO authorisation, design or repair approval, permit to fly, production
organisation approval certificate or letter of agreement under this Regulation shall:
(a)
when they design a product, part or appliance or changes or repairs thereto, establish a recordkeeping system and maintain the relevant design information/data; that information/data shall
be made available to the Agency in order to provide the information/data that is necessary to
ensure the continued airworthiness of the product, part or appliance, the continued validity of
the operational suitability data, and compliance with the applicable environmental protection
requirements;
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(b)
when they produce a product, part or appliance, record the details of the production process
relevant to the conformity of the product, part or appliances with the applicable design data,
and the requirements imposed on their partners and suppliers, and make that data available to
their competent authority in order to provide the information that is necessary to ensure the
continuing airworthiness of the product, part or appliance;
(c)
with regard to permits to fly:
(d)
(e)
1.
maintain the documents that are produced to establish and justify the flight conditions,
and make them available to the Agency and to their competent authority of the Member
State in order to provide the information that is necessary to ensure the continued
airworthiness of the aircraft;
2.
when they issue a permit to fly under the privilege of approved organisations, maintain
the documents associated with it, including inspection records and documents that
support the approval of the flight conditions and the issuance of the permit to fly itself,
and make them available to the Agency and to their competent authority of the Member
State responsible for the oversight of the organisation in order to provide the information
that is necessary to ensure the continued airworthiness of the aircraft;
retain records of the competence and qualifications, referred to in points 21.A.139(c),
21.A.145(b), 21.A.145(c), 21.A.239(c), 21.A.245(a) or 21.A.245(e)(1), of the personnel that are
involved in the following functions:
1.
design or production;
2.
independent monitoring of the compliance of the organisation with the relevant
requirements;
3.
safety management;
retain records of the authorisation of personnel, when they employ personnel that:
1.
exercise the privileges of the approved organisation pursuant to points 21.A.163 and/or
21.A.263, as appropriate;
2.
carry out the independent function to monitor the compliance of the organisation with
the relevant requirements pursuant to points 21.A.139(e) and/or 21.A.239(e), as
appropriate;
3.
carry out the independent verification function of the demonstration of compliance
pursuant to point 21. A.239(d)(2).
[applicable from 7 March 2023 — Regulation (EU) 2022/201]
GM1 21.A.5 Repair designs and record keeping
ED Decision 2021/007/R
For repair designs, the record-keeping requirement of point 21.A.5 applies to the data described in
AMC 21.A.433(a).
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21.A.6 Manuals
Regulation (EU) 2021/699
The holder of a type-certificate, restricted type-certificate, or supplemental type-certificate shall
produce, maintain and update master copies of all manuals or variations in the manuals required by
the applicable type-certification basis, the applicable operational suitability data certification basis
and the environmental protection requirements for the product or article, and provide copies, on
request, to the Agency.
21.A.7 Instructions for continued airworthiness
Regulation (EU) 2021/699
(a)
The holder of a type-certificate, restricted type-certificate, supplemental type-certificate,
design change or repair design approval shall develop or reference the instructions which are
necessary for ensuring that the airworthiness standard related to the aircraft type and any
associated part is maintained throughout the operational life of the aircraft, when
demonstrating compliance with the applicable type-certification basis established and notified
by the Agency in accordance with point 21.B.80.
(b)
At least one set of complete instructions for continued airworthiness shall be provided by the
holder of:
1.
a type-certificate or restricted type-certificate to each known owner of one or more
products upon its delivery or upon the issuance of the first certificate of airworthiness or
restricted certificate of airworthiness for the affected aircraft, whichever occurs later,
2.
a supplemental type-certificate or design change approval to all known operators of the
product affected by the change upon the release to service of the modified product,
3.
a repair design approval to all known operators of the product affected by the repair upon
the release to service of the product in which the repair design is embodied. The repaired
product, part or appliance may be released into service before the related instructions
for continued airworthiness have been completed, but this shall be for a limited service
period, and in agreement with the Agency.
Thereafter, those design approval holders shall make those instructions available on request to
any other person required to comply with those instructions.
(c)
By way of derogation from point (b), the type-certificate holder or restricted type-certificate
holder may delay the availability of a part of the instructions for continued airworthiness,
dealing with long lead accomplishment instructions of a scheduled nature, until after the
product or modified product has entered into service, but shall make those instructions
available before the use of this data is required for the product or modified product.
(d)
The design approval holder, who is required to provide instructions for continued airworthiness
in accordance with point (b), shall also make available changes to those instructions to all known
operators of the product affected by the change and, on request, to any other person required
to comply with those changes. That design approval holder shall demonstrate to the Agency,
on request, the adequacy of the process of making changes to the instructions for continued
airworthiness available in accordance with this point.
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AMC1 21.A.7(a) ICA contents
ED Decision 2021/007/R
(a)
(b)
The instructions for continued airworthiness (ICA) should identify the following, in accordance
with the applicable certification specifications:
(1)
any limitations that are necessary for the continued airworthiness of the product or
article;
(2)
the means to determine when the product or article has deteriorated to the extent that
it is no longer airworthy;
(3)
the minimum actions required to restore the airworthiness of the product or article
before the limitations (as per point (1)) have been exceeded or before their deterioration
(as per point (2)), as an alternative to the withdrawal of the product or article from
service.
The ICA should, therefore, include, in accordance with the applicable certification specifications:
(1)
any limitations determined through the certification of the product or article, and
instructions on how to determine that the limitations have been exceeded;
(2)
any inspection, servicing or maintenance actions determined to be necessary by the
certification process;
(3)
any inspection or troubleshooting actions determined to be necessary to establish the
nature of faults and the necessary remedial actions;
(4)
sufficient general information on the operation of the product or article to enable the
understanding of the instructions in (a)(1) to (a)(3) above.
AMC2 21.A.7(a) Identification of ICA
ED Decision 2021/007/R
The instructions for continued airworthiness (ICA) may be provided together with other, additional or
optional, maintenance information, as described in point 21.A.6, or in another acceptable format as
per GM1 21.A.7(a), with the following conditions:
(a)
The information that is necessary for the continued airworthiness is clearly identified (refer to
AMC1 21.A.7(b)).
(b)
The ICA may reference additional instructions for continued airworthiness in separate
publications, where necessary (for example, those produced by suppliers).
If the product ICA reference the use of supplier’s data (e.g. component maintenance manual
(CMM) or section of it) as the appropriate location for the ICA, those applicable instructions are
incorporated by reference and become part of the complete set of the ICA for the product.
(c)
Additional or optional maintenance information not considered as ICA but referenced by the
design approval holder (DAH) together with the ICA should be evaluated appropriately by the
DAH in order to ensure that its use will not compromise the continued airworthiness of the
product or article.
(d)
If the maintenance data made available by a DAH includes data from an operator (i.e. in order
to customise the data for the operator, and created under the authority of the operator), the
operator’s data should be identified as such, and the DAH is not required to additionally
evaluate it.
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AMC3 21.A.7(a) DAH responsibility to check the supplier data which
is part of the ICA or referenced with the ICA
ED Decision 2021/007/R
The DAH may carry out a complete check of the supplier data, or may choose to rely, in whole or in
part, on the supplier’s process. In the latter case, the DAH will propose a means to validate the
supplier’s process. Supplier data may also be issued by the supplier to the DAH under a contract or an
arrangement, addressing the following:
(a)
the accuracy and the adequacy of the technical documentation, which should be checked
through a verification processes (e.g. component workshop verification);
(b)
evidence showing that workshop verification was performed should be kept by the supplier and
a clear statement should be given in the introduction to the supplier data as a confirmation that
component verification is complete;
(c)
evidence that the supplier has taken into account all justified feedback and changes to data
requested by any person required to use the ICA; typical examples would be the correction of
reported errors, or mistakes.
In addition, some validation activities may be decided by the DAH, depending on the articles and the
capability level of the supplier.
For articles subject to an ETSO authorisation, the validation of the supplier’s process is not needed.
This is also valid for other national TSO authorisations (e.g. FAA TSOs) accepted by EASA as stipulated
in related bilateral agreements.
GM1 21.A.7(a) Scope of ICA, their publication format and typical
ICA data
ED Decision 2021/007/R
(a)
ICA can be published in documents or in a manner other than the traditional understanding of
a document — for example, as a series of web pages, or Information Technology (IT) tools, or
in a publishing format linked to tasks or data modules rather than pages.
(b)
The design approval holder (DAH) can decide — within the framework provided by point 21.A.7
and its acceptable means of compliance and guidance material — to publish the ICA in the most
suitable location as part of all the information published to support the airworthiness of an
aircraft. Publications typically produced by DAHs (e.g. for the demonstration of compliance with
a certification basis established on the basis of CS-25), and which may therefore include ICA,
consist of:
— aircraft maintenance manuals (AMMs);
— scheduled maintenance requirements (e.g. MRBRs);
— off-wing component maintenance or overhaul manuals;
— parts catalogues;
— tooling manuals;
— wiring diagram manuals;
— weight and balance manuals;
— electrical loads analyses;
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REQUIREMENTS
— extended range operations (ETOPS) configuration maintenance programs/plans;
— supplemental structural inspection documentation;
— certification maintenance requirements;
— Airworthiness Limitations items;
— ageing aircraft maintenance requirements;
— fuel tank safety related limitations (e.g. critical design configuration control limitation
(CDCCL));
— electrical wiring interconnection system instructions;
— corrosion prevention and control programmes;
— troubleshooting manuals.
Note: The above is only an example of the publications that may contain ICA according to CS-25;
the list is not exhaustive, nor does it represent a minimum list of ICA.
(c)
The requirement for ICA is not intended to ensure that all products or articles may be restored
to an airworthy condition. A certain level of deterioration may require a product or an article to
be permanently withdrawn from service, and restoration may not be reasonably achievable.
Notwithstanding the above, the existence of an MRBR task other than ‘Discard (DS or DIS)’
should be a clear indication of the necessity/obligation to produce a corresponding ICA.
Certain deteriorations or levels of deterioration may require specific instructions (e.g.
inspection or restoration) that will only be developed and provided on a case-by-case basis, as
needed, for a given product or article, and as such, will not be included in the ICA.
In some exceptional cases, product ICA may ultimately instruct the user to contact the DAH in
order to define the specific instructions on a case-by-case basis. This typically happens when
the definition of generic instructions covering all possible cases is not possible. For example,
following an aircraft hard landing, a detailed analysis may have to be carried out by the DAH to
determine the specific instructions to be followed, which depends on the touchdown loads,
recalculated postflight, based on recorded flight data.
GM2 21.A.7(a) Determination of which supplier data is part of the
ICA
ED Decision 2021/007/R
Note 1: For the purpose of this GM, the term ‘supplier data’ also applies to similar types of data
when issued directly by the DAH (e.g. component maintenance manuals issued by the DAH).
Note 2: For the purpose of this GM, the term ‘supplier data’ has to be understood as data coming
from the supplier and related to either a full CMM or to part of a CMM.
Note 3: The link between the aircraft ICA and the engine/propeller CMM, as detailed below, is similar
to the link between engine/propeller ICA and the CMM of equipment fitted to the
engine/propeller.
Note 4: If the supplier is also the DAH (for instance, an engine or propeller manufacturer), then the
ICA for these items will be made available by virtue of the DAH obligations as type-certificate
holder (TCH) and need not be included in the aircraft ICA.
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Annex I
SECTION A — TECHNICAL
REQUIREMENTS
When determining whether a supplier data is part of the ICA, the following should be
considered:
(1)
Supplier data related to the Airworthiness Limitations Section (ALS) of the ICA is part of
the ICA. A typical CS-25 example is critical design configuration control limitation (CDCCL)
items that are included in CMMs.
(2)
Supplier data related to instructions on how to accomplish the scheduled maintenance
part of the aircraft ICA (such as MRBR) are part of the aircraft ICA. A typical case is the
periodical removal of a component to perform a workshop task.
Example: Escape slide removal for restoration in accordance with the supplier data
instructions.
(3)
Supplier data related to scheduled maintenance on the component should be endorsed
by the DAH before becoming part of the aircraft ICA, to define and confirm that the
supplier data is applicable and effective.
(4)
If the ICA are defined at aircraft level, the following principles apply to the other supplier
data that is not related to the ALS nor to scheduled maintenance:
(i)
If the supplier data includes a maintenance instruction for an action identified in
the aircraft-level ICA, including an engine or propeller, this supplier data should be
referenced in the aircraft-level ICA and should be made available like any other ICA.
As an alternative to linking such supplier data to the aircraft-level ICA (e.g. with
cross references), it is possible to include the relevant data directly into the aircraft
ICA. In such a case, the supplier data is not part of the aircraft ICA since the aircraft
ICA already contain all the required information.
(ii)
If an aircraft ICA task only requires a replacement task for an engine, propeller, part
or appliance (i.e. ‘remove and replace’ or ‘discard’) and does not refer to the
supplier data for further maintenance of the removed engine, propeller, part or
appliance, this means that the aircraft airworthiness may only be maintained by
replacement action, and that the supplier data is not part of the ICA for the aircraft.
In such cases, the supplier data does not need to be referenced in the aircraft ICA.
Example: If supplier data provides off-aircraft maintenance instructions for an
engine, propeller, or other article (i.e. workshop maintenance), then this data may
not be considered as part of the complete set of ICA for the aircraft, but may be
considered as part of the complete set of ICA for the engine or propeller. However,
the procedure for removal from / installation on the aircraft is necessarily part of
the aircraft ICA.
(b)
However, for the above cases, aircraft-level ICA can provide, as additional or optional
maintenance information, the references to the supplier data even if it is not considered part
of the ICA. In such cases, it should be made clear that the supplier data references are provided
as additional or optional maintenance information and is not part of the product ICA. Besides,
it should be ensured that the use of additional or optional maintenance information not
considered as ICA but referenced together with the ICA will not compromise the continued
airworthiness of the product or article.
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Annex I
SECTION A — TECHNICAL
REQUIREMENTS
For the supplier data identified as part of the ICA, the DAH should:
(1)
identify the supplier data that is part of the ICA; this can be achieved either by creating a
listing or by any other acceptable means that allow to identify which data is part of the
ICA and which data is not part of the ICA (refer to AMC1 21.A.7(b));
(2)
just as for any other ICA, ensure the publication of the supplier data;
(3)
ensure the accuracy and the adequacy of the technical content of the supplier data (refer
to GM No. 1 to 21.A.239(a), point 3.1.5)
GM3 21.A.7(a) Non-ICA supplier data (e.g. component maintenance
manuals (CMMs))
ED Decision 2021/007/R
(a)
Non-ICA supplier data referenced together with the ICA
Supplier data, or parts of the supplier data, which is not considered to be part of the ICA but is
additional or optional maintenance information referenced together with the product-level ICA,
may be issued by the supplier to the DAH under a contract or an arrangement, using the
methodology proposed in AMC3 21.A.7(a).
(b)
Other non-ICA supplier data
Non-ICA supplier data, which is not referenced together with the ICA, but which can be used for
the maintenance of components approved for installation by the DAH, should be acceptable to
the DAH. This non-ICA supplier data may be documented in a list.
AMC1 21.A.7(b) Identification of a complete set of instructions for
continued airworthiness (ICA)
ED Decision 2021/007/R
The design approval holder (DAH) should identify the complete set of ICA according to point 21.A.7(b)
in such a way that the complete set can be:
(a)
directly listed in the product TCDS; or
(b)
indirectly referenced in the TCDS through other means, which allow the complete list of the ICA
to be obtained (e.g. a complete listing of ICA contained in a ‘principal manual’ or a reference to
a DAH’s website); or
(c)
directly listed in the product STC; or
(d)
indirectly referenced in the STC through other means, which allow the obtainment of the
complete list of the ICA; or
(e)
if direct reference is made to the ICA in the TCDS or the STC, no reference to the revision level
of the ICA should be made; in this case, the revision level should be available elsewhere (e.g. on
the DAH’s website).
For changes to type certificates and repairs, the identification of ‘a complete set of the changes to the
instructions for continued airworthiness’ should be performed by the DAH by a statement to provide
this information, or by confirmation that there are no changes to the ICA. This statement can also be
made in the accomplishment document (e.g. embodiment instructions).
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SECTION A — TECHNICAL
REQUIREMENTS
For products and articles for which the DAH holds a design organisation approval (DOA), the ICA are
considered to be issued under the authority of the DOA and, therefore, the approval of the ICA should
be made explicit to the reader in accordance with point 21.A.265(h), unless otherwise agreed with
EASA.
GM1 21.A.7(b) Other persons required to comply
ED Decision 2021/007/R
For the purpose of this GM, ‘any other person required to comply’ means:
— any independent certifying staff who performs maintenance on a product or article, in accordance
with Regulation (EU) No 1321/2014, in the framework of a contract (or work order) with the
person or organisation responsible for the aircraft continuing airworthiness;
— any maintenance organisation approved to maintain a product or article, in accordance with
Regulation (EU) No 1321/2014, in the framework of a contract (or work order) with the owner of
the engine or article, or the person or organisation responsible for the aircraft continuing
airworthiness;
— any organisation approved to manage the aircraft continuing airworthiness in accordance with
Regulation (EU) No 1321/2014, in the framework of a contract with the aircraft owner or aircraft
operator.
GM2 21.A.7(b) ICA — format
ED Decision 2021/007/R
ICA can be furnished or made available by various means (including paper copies, electronic
documents, or web-based access). Regardless of the format, the design approval holder (DAH) is
expected to furnish or make ICA available in a means that is readily accessible for and useable by the
owner and any person required to comply with the ICA. Service documents, such as service
information letters, may be used for transmitting ICA information and updates.
(a)
Formatting standards
Applicants may use the latest ATA, AECMA/ASD or GAMA formatting standards such as:
(1)
AeroSpace and Defence Industries Association of Europe (ASD), ASD-S1000D,
International Specification for Technical Publications Utilizing a Common Source Data
Base, version 4 or higher;
(2)
the Air Transport Association’s (ATA) iSpec 2200, Information Standards for Aviation
Maintenance, latest edition (ATA is now known as Airlines for America (A4A) but the
standard is still listed as ATA); or
(3)
General Aviation Manufacturers Association (GAMA) Specification No. 2, Specification for
Manufacturers Maintenance Data, latest edition.
In regard to scheduled maintenance, applicants may also refer to the glossary of the ATA MSG-3
standard, latest revision, for standardised task definitions and designations.
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Annex I
SECTION A — TECHNICAL
REQUIREMENTS
General considerations
ICA should be easy to read and to follow. All ICA should include a means to identify their
applicability (model, type, etc.), and the associated revision status. Refer to sample formats in
the Air Transport Association’s iSpec 2200, Information Standards for Aviation Maintenance,
latest edition, or AECMA/ASD standards. There is no requirement for any specific format or
arrangement of the ICA in document or documents. However, the specific format selected by
the applicant should be used and applied in a uniform manner. Empty pages in a document
should contain a statement like ‘Intentionally left blank’ or similar.
At the beginning of each procedure, the ICA should contain cautions and warnings regarding
possible mistakes that can be made when following the instructions.
Abbreviations, acronyms and symbolisation should be either avoided or explained as part of the
ICA documentation.
ICA contain units of measurement. Measurements could be, for instance, instrument readings,
temperatures, pressures, torque values with tolerances, limits, and ranges when applicable. If
the ICA contain units of measurement of a system other than the metric, the ICA should include
a conversion to the metric system for each measurement, tolerance, or torque value. A general
conversion table alone should not be provided, as it may introduce an additional source of error.
The DAH should use a means to indicate changes to the ICA directly in relation to each item of
the information/data of the ICA, e.g. using a vertical change bar in the margin next to the line.
(c)
Publication of ICA in multiple documents
DAHs may prepare ICA as a document, or several documents, depending on how much data is
necessary to provide a complete set of ICA.
If there are multiple documents, there should be a principal document that describes the
general scope of all other documents, in order to provide an overview of the multiple document
structure.
According to different standards, the Airworthiness Limitations Section (ALS) needs to be
included in the principal document as a dedicated section. However, EASA may also accept a
separate Airworthiness Limitations document, when it is at least referenced as such in the
principal document.
DAHs who decide to segregate information dedicated to a specific subject from a principal
document into a separate document, e.g. ‘Fuel Pipe Repair Manual’, ‘Cable Fabrication Manual’,
‘Duct Repair Manual’ or ‘Instrument Display Manual’, should declare these documents to be
ICA.
DAHs may decide to integrate certain information in a principal document (as, for example,
troubleshooting information as part of the aircraft maintenance manual (AMM) instead of a
separate troubleshooting manual (TSM)).
(d)
Language
ICA should be provided in any of the official language(s) of the European Union which is (are)
acceptable to the competent authority.
Note: In certain countries, such as the USA, English is required for ICA. EASA, therefore,
recommends that DAHs include a version of the ICA in simplified technical English (e.g. in
accordance with ASD Specification STE100).
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Annex I
SECTION A — TECHNICAL
REQUIREMENTS
Electronic media
ICA may be provided in an electronic format (e.g. CDs, via the internet, etc.) instead of paper
copies or microfilms (refer to AMC1 21.A.7(b)).
When an electronic format is used, the DAH should consider aspects such as the traceability of
updates, keeping previous versions (record keeping), data security and the obligations of the
person(s) or organisation(s) responsible for the aircraft continuing airworthiness, considering
that the ICA form the basis of the data used for continuing airworthiness activities.
GM3 21.A.7(b) Approval status of the manual for a component or
article
ED Decision 2021/007/R
When the ICA refer to a document for a specific component or article, it is possible that this document
is used for products from more than one DAH. In such cases, instead of placing approval statements
from each DAH in the same manual, it may be more practical to identify the approved status of the
relevant document through its inclusion in lists managed by the DAH in accordance with the
AMC1 21.A.7(b).
GM4 21.A.7(b) Integration of ICA between products (aircraft,
engines, propellers)
ED Decision 2021/007/R
The aircraft/engine/propeller type-certificate holder (TCH) should ensure the availability of ICA to
allow maintenance of the aircraft, including engines/propellers when installed on the aircraft.
When referring to engine/propeller ICA directly in the aircraft ICA, the aircraft TCH should not perform
additional verification and validation. However, the integration and interface aspects between the
aircraft and the engine/propeller are still under the responsibility of the aircraft TCH.
If the ICA published by the aircraft TCH include some engine/propeller ICA developed by the
engine/propeller TCH, the engine/propeller TCH should make an arrangement with the aircraft TCH
setting out engine/propeller TCH and aircraft TCH shared responsibilities with respect to the ICA under
point 21.A.7.
This arrangement should:
— define the part of the engine/propeller ICA which is published in the aircraft ICA; and
— address the development, publication and update processes of these ICA, including completeness
and timely availability aspects.
The incorporated engine/propeller data content remains under the responsibility of the
engine/propeller TCH, and the publication is under the responsibility of the aircraft TCH. Therefore,
the aircraft TCH must coordinate with the engine/propeller TCH regarding any modification or
alteration of the incorporated data.
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Annex I
SECTION A — TECHNICAL
REQUIREMENTS
AMC1 21.A.7(c) Completeness and timely availability of the ICA
ED Decision 2021/007/R
COMPLETENESS AND TIMELY AVAILABILITY OF THE ICA FOR TYPE-CERTIFICATE (TC) AND RESTRICTED
TYPE-CERTIFICATE (RTC) APPLICANTS
(a)
An applicant may wish to choose among the three options described below. Once the
certification programme starts, it may be necessary to modify the initially selected option to
accommodate programme changes. All such changes should be coordinated with EASA.
(1)
(2)
Option 1: Complete ICA are available at the time of the design approval (TC/RTC)
(i)
The ICA will be made available at the time of the design approval. This option
minimises the risk of incomplete ICA, especially for changes.
(ii)
With all ICA available at the time of the design approval, they should also be
furnished / made available to the aircraft operator / aircraft owner and made
available to any other person required to comply with any of those instructions in
accordance with points 21.A.21(c)(4), 21.A.44 and 21.A.7, without using the
provision to delay certain parts of the ICA after the entry into service.
(iii)
Frequently, there is only a short period of time between the design approval and
the entry into service. Nevertheless, applicants/holders may still wish to apply
Option 2 or 3 for a part of their ICA as stated below.
Option 2: Complete ICA are available at entry into service (TC/RTC)
If an applicant plans to make part of the ICA available to EASA at entry into service, the
following approach is acceptable:
(i)
For the ALS, as part of the type design, notwithstanding the selection of Option 2:
the applicant submits the ALS for approval prior to the design approval. Any ALS
content that is incomplete, not yet demonstrated for compliance, or delayed
beyond the design approval, requires to be compensated through an interim
limitation to establish compliance within this limitation. The interim limitation is
notified to the aircraft operator(s) concerned as a temporary operational limitation
in a manner agreed with EASA.
In this context, ALS content is understood as the task method (e.g. a detailed
inspection), including its reference, title and applicability, and the associated
threshold / interval / life-limit. The accomplishment procedure itself, i.e. how to
carry out the task, is usually described in other parts of the ICA (e.g. in the AMM or
NDT manual). However, the feasibility study of the accomplishment procedure is
required for compliance with specific requirements (e.g. CS 25.611).
(A)
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This may typically apply when the aircraft structural full-scale fatigue testing
required for compliance with the fatigue- and damage-tolerance
requirements, considering the expected operational life, will not be
completed prior to the type certificate being issued. In this case, a temporary
operational limitation is assigned and stated in the ALS, dependent on the
aircraft full-scale fatigue testing progress. The ALS is effectively incomplete
beyond this temporary operational limitation, as the required justification
and the resulting ICA are not yet available to support the safe operation of
the aircraft beyond this limitation.
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Annex I
SECTION A — TECHNICAL
REQUIREMENTS
A TCDS notation is not necessary, since the product is provided with
complete ALS content up to the established temporary operational
limitation.
(ii)
A compliance plan identifying those parts of the ICA that are only to be made
available at entry into service is produced, submitted to EASA and agreed between
the applicant and EASA prior to the design approval (refer also to (iv) for ICA
considered to be necessary at the time of the design approval.
(iii)
A commitment is provided to produce, verify and submit (when requested) to EASA
the relevant ICA prior to entry into service. This commitment should be provided
in a certification document (e.g. the compliance plan) and should also be addressed
in a more general manner in a DOA procedure for EU holders/applicants in
accordance with points 21.A.239 and 21.A.263. If the respective DOA holder has
not previously exercised the practice of delaying the ICA beyond the design
approval in order for the DOA to demonstrate this capability in its design assurance
system (DAS), the required procedural changes need to be addressed via a
significant change to the DAS in accordance with point 21.A.247.
(iv)
ICA considered to be necessary at the time of design approval are provided or
made available in a format that adequately defines the data. Furthermore, the way
the data is presented at the time of the design approval offers the same
understanding of the data as in the final published format.
The applicant should agree with the Agency, in a compliance plan, on all ICA
necessary at the time of design approval. The Agency investigation may vary from
no involvement or evaluating a limited sample of the ICA to performing a thorough
review of specific parts of the ICA.
(v)
In cases where the AgencyEASA has doubts as to whether the applicant/holder can
fulfil the applicable requirements of point 21.A.44 to control and support delaying
the ICA beyond the design approval, or TC/RTC, and until entry into service, EASA
can decide to assign a condition for entry into service for non-ALS ICA.
As a condition for the entry into service, a note should be included in the type
certificate data sheet (TCDS) as a result of these pending issues under the ICA
paragraph as follows:
‘Note: The ICA are not complete. As per point 21.A.7 of Commission Regulation
(EU) No 748/2012, they must be completed before the entry into service of the
aircraft. Contact EASA for information on the status.’
The decision to assign a condition may be based on the applicant’s performance,
e.g. if the applicant has already demonstrated in previous projects that it provided
the complete set of ICA before the entry into service, if the applicant has already
experienced difficulties in providing the ICA considered necessary at the time of
the design approval, or has previously failed on a different project to meet its
commitment to complete the ICA prior to entry into service, or if the
applicant/holder has no previous experience with the practice of delaying the ICA
beyond the design approval.
(vi)
Post-TC action is established together with EASA (if EASA requests such a review)
to review the ICA status at entry into service.
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Annex I
SECTION A — TECHNICAL
REQUIREMENTS
If all ICA are made available to EASA at the time of entry into service, they should
also be furnished at this time to the aircraft operator / aircraft owner and made
available to any other person(s) required to comply with any of those instructions
in accordance with points 21.A.21(c)(4), 21.A.44 and 21.A.7, without using the
provision to delay certain parts of the ICA beyond the entry into service. For an EU
holder/applicant, this should be supported as part of the DOA/ADOA procedure.
Flow chart A — ‘Completeness of ICA’, Option 1 and 2
(3)
Option 3: Complete ICA are available after the entry into service (TC/RTC)
As per point 21.A.7(c), certain ICA dealing with the ‘overhaul or other forms of heavy
maintenance’ may be delayed until after the aircraft entry into service. Although there is
no definition of what is meant by ‘overhaul or other forms of heavy maintenance’, the
intention of the rule is to provide flexibility to applicants/holders for long-lead ICA of a
scheduled nature.
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Annex I
SECTION A — TECHNICAL
REQUIREMENTS
If an applicant plans to make part of the ICA available only after the entry into service,
the following is acceptable for the complete set of ICA:
(i)
for the ALS, as it cannot be delayed until after the entry into service, point (i) of
Option 2 applies;
(ii)
for ICA considered to be necessary at the time of the design approval, point (iv) of
Option 2 applies.
(iii)
a detailed compliance plan identifying those parts of the ICA that are to be
provided prior to and after the entry into service. For ICA made available after the
entry into service, the plan should account for when the ICA are needed so that
they can be complied with. This approach may only be used for scheduled
maintenance accomplishment procedures, where threshold / interval / life-limit
requirements of the related scheduled tasks are established. In that respect, the
following aspects should be considered:
(A)
The majority of the ICA are of an unscheduled nature; therefore, these items
should be available at entry into service at the latest.
(B)
Consideration should be given to the fact that a number of tasks are used
for both scheduled and unscheduled maintenance (e.g. an operational check
of a system is planned as a scheduled task at a certain point in time, but is
also required as part of the installation procedure to determine the
operational status of the system).
(C)
For ICA to be made available after entry into service, the detailed plan should
contain threshold(s) controlled by the applicant/holder, stating the
maximum value in flight hours (FH) / flight cycles (FC) or calendar time (CT),
or a combination of them as applicable, by which point in time the delayed
ICA should be made available.
(D)
This detailed plan should be available prior to the time of the design
approval and should be either directly integrated or cross-referenced in a
compliance plan.
(E)
Information on the format in which the ICA delayed until after entry into
service will be made available in time (e.g. regular revisions or temporary
revisions (TRs) or service information (SBs, SIL, etc.).
(iv)
A procedure/programme that ensures a detailed plan is produced and
implemented in the applicant’s organisation in order to ensure the timely
availability (to the aircraft operator / aircraft owner and to any other person
required to comply with any of those instructions and to the Agency, if involved
and when requested). For an EU holder/applicant, this should be part of the design
organisation approval (DOA) procedure in accordance with points 21.A.239 and
21.A.263.
(v)
A commitment is made to produce, verify and provide the relevant ICA in
accordance with the detailed plan. This commitment should be provided in a
certification document (e.g. a compliance plan) and should also be addressed in a
more general manner in a DOA procedure for EU holders/applicants in accordance
with points 21.A.239 and 21.A.263. If the respective DOA holder has not previously
exercised the practice of delaying the ICA beyond the design approval in order for
the DOA to demonstrate this capability in its design assurance system (DAS), the
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SECTION A — TECHNICAL
REQUIREMENTS
required procedural changes need to be addressed via a significant change to the
DAS in accordance with point 21.A.247.
(vi)
In order to ensure that the applicant/holder can meet their obligations as set out
in point 21.A.44 to control and support delaying the ICA, EASA may decide:
(A)
for ICA delayed until entry into service, to assign a condition/notation for the
entry into service to be included in the TCDS as a result of these pending
issues under the ICA paragraph, as per point (v) of Option 2;
(B)
for ICA delayed until after entry into service, to assign an interim limitation
to be published and included in the ALS as a temporary operational
limitation, also for non-ALS ICA, to compensate for the delayed ICA; this
approach may only be used for scheduled maintenance accomplishment
procedures, where task and interval requirements are available.
The decision to assign a condition/limitation may be based on the applicant’s
performance, e.g. if the applicant has already demonstrated in previous
projects that it provided the complete set of ICA before the entry into
service, if the applicant had already difficulties in providing the ICA
considered necessary at the time of the design approval, or has failed before
in a different project to control and support delaying the ICA, or if the
applicant/holder has not previously exercised the practice of delaying the
ICA beyond the design approval.
(vii)
Post-TC action should be established with EASA to regularly review the ICA status,
if EASA requests such a review, taking into account the DOA oversight activities.
(viii) An applicant/holder should provide visibility, regarding the ICA that are delayed
beyond entry into service, to the aircraft operator / aircraft owner and to any other
person(s) required to comply with any of those instructions. This can be achieved
by providing this information, for example, on a website or in a document, such as
an MPD or AMM, preferably in the principal ICA manual. This visibility information
is then itself considered to be ICA information.
(ix)
It is assumed that for those ICA that are made available to EASA at the time of entry
into service, they are also at the same time furnished to the aircraft operator /
aircraft owner and made available to any other person(s) required to comply with
any of those instructions in accordance with points 21.A.21(c)(4), 21.A.44 and
21.A.7.
This is to satisfy EASA that such a delayed publication will not have an adverse
effect on the continuing airworthiness of any individual aircraft.
To allow the timely review and incorporation of a delayed part of the ICA into
continuing airworthiness activities and processes (e.g. amendment of the aircraft
Maintenance Programme) by the person or organisation responsible for the
aircraft continuing airworthiness or for performing maintenance, the Agency
considers that the delayed ICA should typically be made available two years before
the actual ICA has to be used, when using normal revisions as a format. However,
shorter time margins may be acceptable, provided that the format used ensures
the prompt notification of the availability of the delayed ICA or the ICA itself, but
they should not be less than 1 year before the ICA has to be used.
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Flow chart B — ‘Completeness of ICA’, Option 3
(b)
Completeness and timely availability of changes to the ICA (TC/RTC)
Point 21.A.7(d) regulates the distribution of changes to the ICA required from the TC/RTC
holder. Those changes to the ICA could result from the design change process (minor and major
changes), in-service experience, corrections, and others.
For an EU TC/RTC holder/applicant, a programme showing how changes to the ICA are
distributed is part of the respective procedures (e.g. design organisation procedures, or
alternative procedures used to demonstrate capabilities). For changes to the ICA triggered by
design changes, typically these procedures follow the same principles as those available for
TC/RTC, Options 1 to 3, while taking into account the relevant privileges, e.g. that a DOA may
approve minor changes in accordance with point 21.A.263(c)(2).
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21.A.9 Access and investigation
Regulation (EU) 2022/201
Any natural or legal person that holds or has applied for a type-certificate, restricted type-certificate,
supplemental type-certificate, ETSO authorisation, design change or repair approval, certificate of
airworthiness, noise certificate, permit to fly, design organisation approval, production organisation
approval certificate or letter of agreement under this Regulation, shall:
(a)
grant the competent authority access to any facility, product, part and appliance, document,
record, data, process, procedure or to any other material in order to review any report, make
any inspection, or perform or witness any flight and ground test, as necessary, in order to verify
the initial and continued compliance of the organisation with the applicable requirements of
Regulation (EU) 2018/1139 and its delegated and implementing acts;
(b)
make arrangements to ensure the competent authority has access, as provided for in point (a),
also in respect of the natural or legal person’s partners, suppliers and subcontractors.
[applicable from 7 March 2023 — Regulation (EU) 2022/201]
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SUBPART B — TYPE-CERTIFICATES AND RESTRICTED TYPECERTIFICATES
21.A.11 Scope
Regulation (EU) No 748/2012
This Subpart establishes the procedure for issuing type-certificates for products and restricted typecertificates for aircraft, and establishes the rights and obligations of the applicants for, and holders of,
those certificates.
21.A.13 Eligibility
Regulation (EU) No 748/2012
Any natural or legal person that has demonstrated, or is in the process of demonstrating, its capability
in accordance with point 21.A.14 shall be eligible as an applicant for a type-certificate or a restricted
type-certificate under the conditions laid down in this Subpart.
21.A.14 Demonstration of capability
Regulation (EU) 2019/897
(a)
An applicant for a type-certificate or restricted type-certificate shall demonstrate its capability
by holding a design organisation approval, issued by the Agency in accordance with Subpart J.
(b)
By way of derogation from point (a), as an alternative procedure to demonstrate its capability,
an applicant may seek the agreement of the Agency for the use of procedures setting out the
specific design practices, resources and sequence of activities necessary to comply with this
Annex I (Part 21), when the product is one of the following:
(c)
1.
an ELA2 aircraft;
2.
an engine or propeller installed in ELA2 aircraft;
3.
a piston engine;
4.
a fixed or adjustable pitch propeller.
By way of derogation from point (a), an applicant may demonstrate its capability by obtaining
the Agency's acceptance of its certification programme established in accordance with point
21.A.15(b), where the product to be certified is:
1.
an ELA1 aircraft; or
2.
an engine or propeller installed in ELA1 aircraft.
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AMC to 21.A.143, 21.A.243, 21.A.14(b), 21.A.112B(b) and
21.A.432B(b) Flight Test Operations Manual (FTOM)
ED Decision 2017/024/R
1.
General
a.
Scope: The FTOM covers flight test operations.
The FTOM complexity should be proportionate to the aircraft and the organisation
complexity.
b.
Format
The FTOM may:
— be included in the Design Organisation Approval (DOA)/Production Organisation
Approval (POA)/Alternative Procedure to DOA (APDOA) documents, or
— be a separate manual.
The FTOM may make reference to other documents to cover the contents listed below,
e.g. for record-keeping.
c.
Use by contractors or sub-contractors:
When flight tests are performed by contractors or sub-contractors, they should comply
with the FTOM of the primary organisations, unless they have established an FTOM in
compliance with Part-21, the use of which has been agreed between the two
organisations.
2.
The FTOM should contain the following elements:
a.
Exposition (not applicable in the case of APDOA):
If the FTOM is presented as a separate document, it should include a chart indicating the
structure of the organisation and, more specifically, the functional links of the people in
charge of flight test activities. It should also mention the coordination between all
departments affecting flight test, e.g. Design Office, Production and Maintenance, in
particular coordination for the establishment and update of a Flight Test Programme.
b.
Risk and safety management:
The FTOM should describe the organisation’s policy in relation to risk and safety
assessment, mitigation and associated methodologies.
c.
Crew members:
According to the flight test category, the FTOM should describe the organisation’s policy
on the composition of the crew (including the need to use a Lead Flight Test Engineer
(LFTE)) and the competence and currency of its flight test crew members, including
procedures for appointing crew members for each specific flight.
All crew members should be listed in the FTOM.
A flight time limitation policy should be established.
d.
Carriage of persons other than crew members:
According to the flight test category, the FTOM should describe the organisation’s policy
in relation to the presence and safety on-board, of people other than crew members
(i.e. with no flying duties).
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People other than crew members should not be allowed on board for Category 1 flight
tests.
e.
Instruments and equipment:
The FTOM should list, depending on the nature of the flight, the specific safety-related
instruments and equipment that should be available on the aircraft or carried by people
on board.
The FTOM should contain provisions to allow flights to take place in case of defective or
missing instruments or equipment.
f.
Documents:
The FTOM should list the documents to be produced for flight test, and include (or refer
to) the procedures for their issue, update and follow-up to ensure the documents’
configuration control:
(i)
documents associated with a Flight Test Programme:
— Flight Order for a given flight, which should include:
— a list of the tests to be performed and associated conditions;
— safety considerations relevant to the flight;
— category of the flight (e.g. Category 1);
— composition of the crew;
— names of persons other than crew members;
— aircraft configuration items relevant to the test to be highlighted to the
crew;
— loading of the aircraft;
— reference to approved flight conditions; and
— restrictions relevant to the flight to be highlighted to the crew.
— Flight crew report.
g.
(ii)
documentation and information to be carried on the aircraft during flight test;
(iii)
record-keeping: the FTOM should describe the policy relative to record-keeping.
Permit to fly:
The FTOM should describe the involvement of the flight test organisation or flight test
team (as appropriate) in the process for the approval of flight conditions and the issue of
permits to fly in accordance with Subpart P.
h.
Currency and training:
The FTOM should describe how training for flight test is organised.
Currency of the flight test crew may be ensured either through recent experience or
refresher training.
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For aircraft for which Appendix XII is applicable, minimum flight experience by year
should be:
— for pilots: 50 hours. In addition:
— for pilots with a flight test rating, the 50 hours should include 20 flight test
hours in any flight test category.
— for pilots performing a Category 3 flight test, the flight test experience should
be expressed in terms of a number of flights leading to the issue of a Certificate
of Airworthiness (CofA) (e.g. first flights).
— for pilots performing a Category 4 flight test, the minimum flight test
experience should be proportionate to the activity envisaged.
— for LFTEs: 10 flight test hours in any flight test category.
The FTOM should specify the requirements for a refresher training in order to ensure that
crew members are sufficiently current to perform the required flight test activity.
A system should be established to record the currency of the flight test crew’s training.
A valid national document (i.e. licence), issued by an EASA Member State under its
national regulations and ensuring compliance with the agreed currency requirements, is
an acceptable means of compliance to demonstrate currency for a pilot that holds a flight
test rating and for an LFTE.
AMC1 21.A.14(b) Demonstration of capability
ED Decision 2021/001/R
ALTERNATIVE PROCEDURES FOR THE DEMONSTRATION OF DESIGN CAPABILITY
The availability of procedures that state the specific design practices, resources and sequence of
activities is an acceptable means to demonstrate design capability in the cases described in points
21.A.14(b), 21.A.112B(b) or 21.A.432B(b). This concept is that the implementation, in the context of
specific projects, of the procedures required for a Subpart J DOA, will ensure that the applicant
performs the relevant activities, but without the requirements on the organisation itself. The setting
up of those procedures may be seen as a starting phase for a design organization to develop into a
Subpart J DOA by the addition of the missing elements.
1.
2.
Scope
1.1
A manual of procedures should be provided that sets out the specific design practices,
resources and the sequence of activities that are relevant for the specific projects, taking
the Part 21 requirements into account.
1.2
These procedures should be concise and limited to the information that is needed for the
quality and proper control of activities by the applicant/holder, and by EASA.
Management of the (supplemental) type-certification process
2.1
Certification programme: see AMC 21.A.15(b) for type certification and AMC 21.A.93(b)
for supplemental type certification.
2.2
Compliance demonstration: see GM 21.A.20.
2.3
Reporting: see GM 21.A.20(b).
2.4
Compliance documentation: see AMC 21.A.20(c).
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3.
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SECTION A — TECHNICAL
REQUIREMENTS
Declaration of compliance: see GM 21.A.20(d).
Management of changes to type certificates, repair designs and production deviations
3.1
Management of changes to a type certificate or supplemental type certificate
(hereinafter referred to as ‘changes’), repair designs and production deviations from the
approved design data.
The applicant should provide procedures that are acceptable to EASA for the classification
and approval of changes (see paragraphs 3.2 and 3.3), repair designs and production
deviations from the approved design data.
3.2
Classification
3.2.1 Content
The procedure should address the following points:
— the identification of the product configuration(s) to which the change is to be
made,
— the identification of the areas of the product that are changed or affected by
the change,
— the identification of any reinvestigations that are necessary (see point
21.A.93(b)(2)), including the identification of the applicable certification
specifications or environmental protection requirements and means of
compliance,
— changes initiated by subcontractors,
— documents to justify the classification,
— authorised signatories,
— the criteria used for classification must be in compliance with 21.A.91 and the
corresponding interpretations.
3.2.2 Identification of changes
The procedure should indicate how the following are identified:
— major changes,
— those minor changes where additional work is necessary to demonstrate
compliance with the certification specifications,
— other minor changes that require no further demonstration of compliance.
3.2.3 Considerations of effects of the change
The procedure should show how the effects on airworthiness, operational
suitability or environmental protection are analysed, from the very beginning, by
reference to the applicable certification specifications.
If no specific certification specifications are applicable to the change, the above
review should be carried out at the level of the part or system where the change is
integrated and where specific certification specifications are applicable.
3.2.4 Control of changes initiated by subcontractors
The procedure should indicate, directly or by cross reference to written
procedures, how changes initiated by subcontractors are controlled.
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3.2.5 Documents to justify the classification
All decisions of classification of changes should be documented and approved by
EASA. The document may be in the format of meeting notes or a register.
3.2.6 Authorised signatories
The procedure should identify the persons authorised to sign the proposed
classification before release to EASA for approval.
3.3
Approval of changes
3.3.1 Content
The procedure should address the following points:
— compliance documentation,
— the internal approval process,
— authorised signatories.
3.3.2 Compliance documentation
For major changes and those minor changes where additional work to demonstrate
compliance with the applicable type-certification basis, operational suitability data
certification basis, and environmental protection requirements (hereinafter
referred to as the ‘certification basis’) is necessary, compliance documentation
should be established in accordance with AMC 21.A.20(c).
3.3.3 Approval process
A)
For the approval of major changes, a certification programme as defined in
AMC 21.A.93(b) must be established.
B)
For major changes and those minor changes where additional work to
demonstrate compliance with the applicable certification basis is necessary,
the procedure should define a document to support the approval process.
This document should include at least:
— identification and a brief description of the change and its classification,
— references to the applicable certification basis,
— reference to the compliance documents,
— effects, if any, on limitations and on the approved design data,
— the name of the authorised signatory.
C)
For the other minor changes, the procedure should define a means:
— to identify the change,
— to present the change to EASA for approval.
3.3.4 Authorised signatories
The procedure should identify the persons authorised to sign the change before
release to EASA for approval.
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Repair designs and production deviations from the approved design data
A procedure following the principles of paragraphs 3.2 and 3.3 should be established for
the classification and approval of repair designs and unintentional deviations from the
approved design data occurring in production (concessions or non-conformances). For
repair designs, the procedure should be established in accordance with Part 21,
Section A, Subpart M and the associated acceptable means of compliance (AMC) or
guidance material (GM).
4.
Issue of data and information (including instructions) to owners, operators or others required
to use the data and information
4.1
General
Data and information include the operational suitability data.
4.2
Data related to changes
The data and information (including instructions) issued by the holder of a design
approval (a TC, STC, approval of a change, approval of a repair design) are intended to
provide the owners of a product with all the necessary data and information to embody
a change or a repair on the product, or to inspect it.
The data and information (including instructions) may be issued in a format of a service
bulletin as defined in ATA 100 system, or in structural repair manuals, maintenance
manuals, engine and propeller manuals, etc.
The preparation of this data involves design, production and inspection. The three
aspects should be properly addressed and a procedure should exist.
4.3
Procedure
The procedure should address the following points:
— Preparation;
— verification of technical consistency with corresponding approved change(s), repair
design(s) or approved data, including effectivity, description, effects on airworthiness
or operational suitability, especially when limitations are changed;
— verification of the feasibility in practical applications; and
— approval for the release of data and information.
The procedure should include the information (including instructions) prepared by
subcontractors or vendors, and declared applicable to its products by the holder of the
TC, STC, approval of changes or approval of repair designs.
4.4
Statement
The data and information should include a statement:
— confirming that the documentation has been produced by the design approval holder
in accordance with the associated procedures accepted by EASA; and
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— containing a reference to EASA approvals of related changes or repairs, when
applicable1.
5.
Obligations addressed in 21.A.44 (TC holder), 21.A.118A (STC holder) or 21.A.451 (major repair
design approval holder)
The applicant for alternative procedures to demonstrate their design capabilities should
establish the necessary procedures to show to EASA how it will fulfil the obligations that are
required under 21.A.44, 21.A.118A or 21.A.451, as appropriate.
6.
Control of design subcontractors
The applicant for alternative procedures to demonstrate their design capabilities should
establish the necessary procedures to show to EASA how it will control design subcontractors
and ensure the acceptability of the parts or appliances that are designed, or the design tasks
that are performed.
GM 21.A.14(b) Eligibility for alternative procedures
ED Decision 2012/020/R
Design organisations approved under Part 21 Section A Subpart J (‘Subpart J DOA’) should be the
normal approach for type certification, supplemental type certification, approval of major changes to
type design or approval of major repair design, except when agreed otherwise by the Agency in
accordance with 21.A.14, 21.A.112B and 21.A.432B.
The acceptance of alternative procedures, as defined in AMC 21.A.14(b), should be limited where the
Agency finds it more appropriate for the conduct of type certification, supplemental type certification,
approval of changes to type design, approval of repair design.
21.A.15 Application
Regulation (EU) 2021/699
(a)
An application for a type-certificate or restricted type-certificate shall be made in a form and
manner established by the Agency.
(b)
An application for a type-certificate or restricted type-certificate shall include, as a minimum,
preliminary descriptive data of the product, the intended use of the product and the kind of
operations for which certification is requested. In addition, it shall include, or be supplemented
after the initial application by, a certification programme for the demonstration of compliance
in accordance with point 21.A.20, consisting of:
1.
a detailed description of the type design, including all the configurations to be certified;
2.
the proposed operating characteristics and limitations;
3.
the intended use of the product and the kind of operations for which certification is
requested;
4.
a proposal for the initial type-certification basis, operational suitability data certification
basis and environmental protection requirements, prepared in accordance with the
requirements and options specified in points 21.B.80, 21.B.82 and 21.B.85;
1
EASA does not directly approve information or instructions. These are approved as part of the TC, STC, change approval or repair design
approval. When stand-alone changes (i.e. not related to a TC change or repair design) to the issued information or instructions (e.g. to take
in-service experience into account) are needed, these should be prepared, verified and approved according to the agreed procedures (see
above).
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5.
a proposal for a breakdown of the certification programme into meaningful groups of
compliance demonstration activities and data, including a proposal for the means of
compliance and related compliance documents;
6.
a proposal for the assessment of the meaningful groups of compliance demonstration
activities and data, addressing the likelihood of an unidentified non-compliance with the
type-certification basis, operational suitability data certification basis or environmental
protection requirements and the potential impact of that non-compliance on product
safety or environmental protection. The proposed assessment shall take into account at
least the elements set out in subpoints (1) to (4) of point 21.B.100(a). Based on this
assessment, the application shall include a proposal for the Agency's involvement in the
verification of the compliance demonstration activities and data; and
7.
a project schedule including major milestones.
(c)
After its initial submission to the Agency, the certification programme shall be updated by the
applicant when there are changes to the certification project affecting any of the points 1 to 7
of point (b).
(d)
An application for a type-certificate or restricted type-certificate for an aircraft shall include, or
be supplemented after the initial application by, an application supplement for approval of the
operational suitability data.
(e)
An application for a type-certificate or restricted type-certificate for a large aeroplane or a large
rotorcraft shall be valid for five years and an application for any other type-certificate or
restricted type-certificate shall be valid for three years, unless the applicant demonstrates at
the time of application that its product requires a longer time period to demonstrate and
declare compliance and the Agency agrees to that longer time period.
(f)
In the case where a type-certificate or restricted type-certificate has not been issued, or it is
evident that it will not be issued, within the time limit provided for in point (e), the applicant
may:
1.
submit a new application and comply with the type-certification basis, operational
suitability data certification basis and environmental protection requirements, as
established and notified by the Agency in accordance with points 21.B.80, 21.B.82 and
21.B.85 for the date of the new application; or
2.
apply for an extension of the time period provided for in point (e) and propose a new
date for the issuance of the type-certificate or restricted type-certificate. In that case, the
applicant shall comply with the type-certification basis, operational suitability data
certification basis and environmental protection requirements, as established and
notified by the Agency in accordance with points 21.B.80, 21.B.82 and 21.B.85 for a date
to be selected by the applicant. However, that date shall not precede the new date
proposed by the applicant for the issuance of the type-certificate or restricted typecertificate by more than five years for an application for a type-certificate or restricted
type-certificate for a large aeroplane or a large rotorcraft, and by more than three years
for an application for any other type-certificate or restricted type certificate.
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AMC 21.A.15(a) Form and manner
ED Decision 2019/018/R
The applicant should file an application using the web-based ‘EASA Applicant Portal’1 or the
application form for a type certificate or restricted type certificate (FO.CERT.00030)2, which may be
downloaded from the EASA website.
The form should be completed in accordance with the instructions embedded at the bottom of the
application form, and sent to EASA by fax, email or regular mail following the information provided on
the EASA website3.
AMC 21.A.15(b) Content of the certification programme
ED Decision 2019/018/R
The certification programme is a document that allows the applicant and EASA to manage and control
the evolving product type design or OSD, as well as the process of compliance demonstration by the
applicant and its verification by EASA when required.
The certification programme may be based on modules that may be updated independently.
The level of detail in the certification programme depends on the complexity of the product and its
intended use.
In particular, the following information should typically be expected:
General
— Identification of the relevant personnel who make decisions affecting airworthiness, operational
suitability and environmental protection, and who will interface with EASA, unless otherwise
identified to EASA (e.g. within the DOA procedures).
— A project schedule including major milestones.
— Subcontracting arrangements for design, operational suitability, environmental protection and/or
production as well as design organisation approval (DOA) responsibility sharing.
21.A.15(b)(1) ‘a detailed description of the type design, including all the configurations to be certified’
An overview of the:
— architecture, functions, systems;
— dimensions, design weights, payloads, design speeds;
— engines and power/thrust rating;
— materials and technologies;
— maximum passenger seating capacity, minimum flight and cabin crew;
— cabin configuration aspects;
1
https://ap.easa.europa.eu (changes to the link provided may not be reflected in this document).
2
http://www.easa.europa.eu/document-library/application-forms/focert00030 (changes to the link provided may not be reflected in
this document).
3
https://www.easa.europa.eu/document-library/application-forms/certificates-and-approvals (changes to the link provided may not be
reflected in this document).
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— options (e.g. weight variants, power/thrust rating variants, optional avionics equipment items,
auxiliary power unit (APU) choices, brake options, tire options, floats, skids);
— noise/emissions level; and
— other items, if considered to be more appropriate, that address the specific aeronautical product.
21.A.15(b)(2) ‘proposed operating characteristics and limitations’
— Operating speed limitations.
— Service ceiling, maximum airfield elevation.
— Cabin pressure.
— Limit load factors.
— Number of passengers, minimum crew, payload, range.
— Weight and centre-of-gravity (CG) envelope and fuel loading.
— Performance.
— Environmental envelope.
— Runway surface conditions.
— Other items, if considered to be more appropriate, that address the specific aeronautical product.
21.A.15(b)(3) ‘the intended use of the product and the kind of operations for which certification is
requested’
— Category A or B (relevant for CS-27 and CS-29), ditching, take-off and landing on water, emergency
floatation equipment.
— Extended overwater operation, high-altitude operation (above 41 000 ft).
— High-airfield operation, steep approach, short take-off and landing, extended-range twin-engine
operations (ETOPS), all-weather operations (AWO), visual flight rules (VFR)/instrument flight rules
(IFR), reduced vertical separation minimum (RVSM), required navigation performance (RNP) type,
increased bank angles, single-pilot operation, flight into known icing conditions.
— Flight in ice crystal icing.
— Engine operations in ice-forming conditions, helicopter hoist operations, operation on unpaved
runway, operation on narrow runway.
— Take-off and landing in tailwind.
— Volcanic-ash operation (limitation or operation as per CS 25.1593 and CS-E 1050).
— Design service goal (DSG)/limit of validity targets.
— Fatigue missions (general description of assumptions for flight durations, main phases, and
parameters, as appropriate).
— Other items, if considered to be more appropriate, that address the specific aeronautical product.
21.A.15(b)(4) ‘a proposal for the initial type-certification basis, operational suitability data certification
basis, where applicable, and environmental protection requirements, considering the requirements
and options specified in 21.B.80, 21.B.82 and 21.B.85’
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The proposed certification basis should include applicable certification specifications, proposed
special conditions, proposed equivalent safety findings, as well as a proposed ‘elect to comply’ and
proposed deviations, as applicable.
21.A.15(b)(5) ‘a proposal for a breakdown of the certification programme into meaningful groups of
compliance demonstration activities and data, hereinafter referred as “compliance demonstration
items” (CDIs), including references to their proposed means of compliance and related compliance
documents’
See AMC 21.A.15(b)(5) for the determination of the compliance demonstration items (CDIs).
21.A.15(b)(6) on information relevant for the determination of the level of involvement (LoI)
The applicant should provide sufficient detailed information about the novelty, complexity, and
criticality aspects of each proposed CDI.
It is recommended to provide this information at the level of each EASA panel or discipline affected
by a proposed CDI. Further interpretative material on the necessary level of details is provided in
AMC 21.B.100(a) and 21.A.15(b)(6).
The applicant should provide detailed information about the proposed means of compliance with the
applicable requirements identified under 21.A.15(b)(4). The information provided should be sufficient
for EASA to determine its (initial) LoI. This should include the following, as far as this information is
available at the time of submission to EASA:
— a compliance checklist addressing each requirement, the proposed means of compliance (see
Appendix A to AMC 21.A.15(b) below for the relevant codes), and the related compliance
document(s);
— identification of industry standards (Society of Automotive Engineers (SAE), American Society for
Testing and Materials (ASTM), European Organisation for Civil Aviation Equipment (EUROCAE),
AeroSpace and Defence Industries Association of Europe (ASD), etc.), methodology documents,
handbooks, technical procedures, technical documents and specifications specified in the type
certificate data sheet, certification memoranda, policy statements, guidance material, etc., that
should be followed in the demonstration of compliance;
— when the compliance demonstration involves testing, a description of the ground and flight test
article(s), test method(s), test location(s), test schedule, test house(s), test conditions (e.g. limit
load, ultimate load), as well as of the intent/objective(s) of the testing; and
— when the compliance demonstration involves analyses/calculations, a description/identification
of the tools (e.g. name and version/release of the software programs) and methods used, the
associated assumptions, limitations and/or conditions, as well as of the intended use and purpose;
furthermore, the validation and verification of such tools and methods should be addressed.
For every aspect mentioned above, the applicant should clearly identify whether the demonstration
of compliance involves any method (analysis or test) which is novel or unusual for the applicant. This
should include any deviations from the published AMC to the relevant CS.
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Appendix A to AMC 21.A.15(b) Means of compliance codes
ED Decision 2019/018/R
Type of compliance
Engineering evaluation
Means of compliance
MC0:
(a) compliance statement
(b) reference to design data
(c) election of methods, factors, etc.
(d) definitions
MC1: design review
Inspection
MC2: calculation/analysis
MC3: safety assessment
MC4: laboratory tests
MC5: ground tests on related product(s)
MC6: flight tests
MC8: simulation
MC7: design inspection/audit
Equipment qualification
MC9: equipment qualification
Tests
Associated compliance documents
(a) Design data
(b) Recorded statements
(c)
(d)
(e)
(f)
Descriptions
Drawings
Substantiation reports
Safety analysis
(g) Test programmes
(h) Test reports
(i) Test interpretations
(j) Inspection or audit reports
Note: Equipment qualification is a
process that may include all previous
means of compliance at equipment
level.
AMC 21.A.15(b)(5) Breakdown of the certification programme into
compliance demonstration items (CDIs)
ED Decision 2019/018/R
1.
What is a CDI?
A CDI is a meaningful group of compliance demonstration activities and data identified in the
certification programme which can be considered in isolation for the purpose of performing the
risk assessment that allows EASA to determine its level of involvement (LoI) using a risk-based
approach.
The possibility to create this grouping of compliance demonstration activities and data is
intended to facilitate the risk assessment. However, there may be cases in which the risk
assessment may also be performed at the level of the compliance demonstration activity or
data, or at the level of the whole certification project.
The chosen breakdown into CDIs may affect the resulting risk classes (please refer to AMC
21.B.100(a) and 21.A.15(b)(6)), but should not have any effect on the compliance
demonstration itself or on EASA’s LoI.
2.
The grouping of compliance demonstration activities and data
The compliance demonstration activities and data grouped in a CDI may demonstrate
compliance with a requirement, a group of requirements, or even a part of a requirement. In
this context, ‘requirement’ means any element of the type-certification basis or operational
suitability data (OSD) certification basis as specified in 21.B.80 and 21.B.82, or the
environmental protection requirements as specified in 21.B.85.
A CDI may comprise any of the means of compliance listed in Appendix A to AMC 21.A.15(b).
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CDIs may be tailored to the scope and size of the project. On simple projects, a CDI may address
all the compliance demonstration activities within a given technical area (e.g. avionics, flight,
structures, hydromechanical systems, OSD-cabin crew data (CCD), etc.) or of the whole project.
A CDI should not be too large, by combining completely unrelated compliance demonstration
activities or data, so that it becomes meaningless, but neither should it be so small that it might
not be considered in isolation from some other related compliance demonstration activities or
data.
A way of meaningfully grouping compliance demonstration activities and data, for example, is
to select some activities and data and group them into a single CDI, as the certification
programme must already contain the applicable requirements, the proposed means of
compliance for each requirement, as well as the associated compliance documents for each
means of compliance.
Another way to meaningfully group the data is to do it at the level of the technically related
compliance demonstration activities and data. This may facilitate the assessment of those
activities and data against the novelty, complexity, and criticality criteria (see AMC 21.B.100(a)
and 21.A.15(b)(6)). The resultant CDI may encompass various means of compliance.
3.
Description of CDIs
Each CDI should be sufficiently described in the certification programme, and should detail the
following:
— the scope of the CDI; and
— the information on the novelty, complexity, and criticality of the item being certified.
However, in cases where the rationale of the assessment is obvious, it is considered to be
sufficient to indicate whether or not a CDI is novel or complex, and whether or not the impact
is critical.
Note: Obvious cases are cases for which the classification is straightforward and does not
require additional clarifications. In general, applicant explanations/notes regarding the
proposed classification should be provided, since this will also facilitate the acceptance
of the LOI proposal. Nevertheless, to avoid unnecessary additional effort, these
explanations can be omitted if they are obvious.
Additionally, it is recommended to identify the EASA panel(s)/discipline(s) affected by each CDI,
as this will support the determination of the novelty, complexity, and criticality, and finally
identify the performance of the design organisation approval (DOA) holder.
GM No 1 to 21.A.15(d) Application for the approval of operational
suitability data – MMEL for ELA1 and ELA2
ED Decision 2019/018/R
For ELA1 and ELA2, the applicant may develop a list of the required equipment to be included in the
TCDS and/or AFM/POH. This list, in combination with the equipment required for the flight by the
applicable implementing rules for a given type of operations, establishes the list of equipment that
must be operative for all flights. The list of the other installed equipment that may be inoperative
constitutes the MMEL.
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GM No 2 to 21.A.15(d) Determination of type or variant
ED Decision 2016/007/R
The criteria for the determination whether an aircraft with a new type certificate (TC) is considered a
new type or is a variant with reference to another aircraft type from the same TC holder for the
purpose of the specific OSD constituent are provided in the applicable certification specifications for
maintenance certifying staff data, flight crew data and cabin crew data.
GM No 3 to 21.A.15(d) OSD content
ED Decision 2016/007/R
The OSD will typically consist of elements that are required to be included by the TC applicant and
elements that can be added at the request of the TC applicant. (See also GM No 4 to 21.A.15(d)).
Both the required elements and the additional elements will have a part that is mandatory to be used
by the operator or training organisation (status of rule) and a part which is not mandatory to the
operator or training organisation (status of AMC). For illustration of this concept, Figure 1 below is
included.
Figure 1: OSD boxes concept
Box 1: required from TC holder; mandatory for end-users.
Box 2: required from TC holder; not mandatory (recommendations) for end-users.
Box 3: at request of TC holder; mandatory for end-users.
The TC applicant may wish to apply for the approval of differences training between variants or types
to reduce training, checking or currency requirements for operations of more than one type or variant.
This is regarded as an optional element in addition to the required elements of Box 1 and 2.
Box 4: at request of TC holder; not mandatory (recommendations) for end-users.
The exact content of the four boxes in the above figure is determined by the certification specification
that is applicable to the specific OSD constituent or the special condition in case of an ‘other typerelated operational suitability element’.
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The status the data will have on the side of the operator or training organisation should be indicated
in the OSD by segregating the data in a section called ‘Mandatory’ and a section called ‘Nonmandatory (recommendations)’.
GM4 21.A.15(d) Application
ED Decision 2021/001/R
SCOPE OF OPERATIONAL SUITABILITY DATA
In the application for the approval of operational suitability data, the TC applicant may apply for the
approval of different types of operations. If the aircraft is certified for certain types of operations (e.g.
ETOPS, RNP, LVO), the impact on the OSD constituents of 21.A.15(d) should be addressed.
The five defined OSD constituents are listed in paragraph (2)(k) of Article 1 of Regulation (EU) No
748/2012. As explained in GM No 1 to 21.A.15(d), they may not all be applicable to all aircraft types.
The content of each OSD constituent is defined in the relevant certification specification (CS) and will
be approved under a type certificate (TC), supplemental type certificate (STC) or change to those
certificates. As explained in GM No 3 to 21.A.15(d), each OSD constituent can have a part that is
mandatory for the end user (operator, training organisation, etc.) and a part that is not mandatory
(recommendation) for the end user. However, both the mandatory and the non-mandatory part
together are the OSD constituent. Furthermore, the OSD constituent always includes the element
required from the TC/STC applicant, as specified in the CS, and may include additional elements at the
request of the TC/STC applicant, but still as defined in the CS.
GM 21.A.15(c) Updates to the certification programme
ED Decision 2019/018/R
Point 21.A.15(b) recognises that the initial submission of the certification programme may not be fully
complete, e.g. due to schedule constraints of the design, analysis and testing activities.
Furthermore, even if the initial submission of the certification programme is complete, it may be
necessary to amend it throughout the duration of the project.
The certification programme should be updated and resubmitted to EASA. In particular, updates to
the following elements should be provided:
— any complementary information that was not included in the initial submission of the certification
programme;
— any change in the intended use or kind of operations of the product itself, or of the aircraft on
which the product is installed;
— a change in the key characteristics of the product such as but not limited to any declared limits
that are intended to be recorded in the type certificate data sheet (TCDS);
— any change in the product design or its characteristics that may affect the criteria used to assess
the likelihood of an unidentified non-compliance with the type-certification basis, operational
suitability data (OSD) certification basis or the environmental protection requirements, including
the potential impact of that non-compliance on product safety or environmental protection, as
defined in 21.A.15(b)(6) and 21.B.100(a)(1) to (4);
Note: An update of the DOA dashboard after the first issuance of the certification programme
only needs to be considered if there is a significant change in the performance.
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— any change to the initial type-certification basis, OSD certification basis or environmental
protection requirements, as applicable to the product, regardless whether the change is initiated
by EASA or by the applicant;
— any change in the breakdown of the certification programme into compliance demonstration
items (CDIs) or in the content of those CDIs;
— any change in the proposed means of compliance, including its/their methodology;
— any change in the structure of compliance documents that may affect the determination of EASA’s
level of involvement (LoI), as defined in 21.B.100;
— any relevant change to the design organisation approval (DOA) holder’s personnel (and design
organisation (DO) suppliers) who are involved in the project; and
— any changes to the schedule that impact on the EASA LoI.
Following each update to the certification programme as submitted by the applicant, EASA may
update the determination of its LoI in accordance with 21.B.100(c).
GM 21.A.15(e) and (f) Period of validity for the application for a
type certificate (TC) or restricted type certificate (RTC)
ED Decision 2019/018/R
Point 21.A.15(e) establishes a maximum period of validity for an application for a TC or an RTC. During
this period, the type-certification basis, operational suitability data (OSD) certification basis, and the
environmental protection requirements (hereinafter referred to as the ‘certification basis’),
established and notified by EASA in accordance with points 21.B.80, 21.B.82 and 21.B.85, remain
effective. However, the period of validity of the certification basis is limited so that the standards
notified as part of the certification basis at the time of application do not become outdated.
For various reasons (e.g. development, business, commercial, etc.), the applicant may not be able to
complete the certification within the established time limit. In this case, the applicant has the following
two options (see 21.A.15(f)(1) and (2)):
1.
Submit a new application In this case, EASA establishes and notifies a new certification basis in
accordance with points 21.B.80, 21.B.82 and 21.B.85, considering the standards that are
available at the date of the new application.
In accordance with point 21.A.15(e), the new application has a maximum period of validity that
is equal to the first one, corresponding to the product category. Beyond this period of validity,
the applicant may need to choose again between the two options of either submitting a new
application or applying for an extension of the initial application.
2.
Apply for an extension of the initial application
In this case, the applicant proposes a ‘new target date’ to EASA for the issuance of the
certificate, and selects a date that becomes the reference date for the establishment of the
certification basis by EASA. For the purposes of this GM, the selected reference date is referred
to as the ‘new effectivity date’ of the initial application.
The ‘new effectivity date’ of the initial application may be any date in the past between the
following time limits:
— the ‘new target date’ for a TC proposed by the applicant minus the time limit used under
21.A.15(e) (e.g. 5 years for large aeroplanes and large rotorcraft, 3 years for the other
products); and
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— the date on which the applicant applies for the extension of the initial application.
This calculation is visualised in Figure 1 below:
Figure 1
This ensures that the standards used to establish the certification basis are never older than the
ones available at the start of the period of validity required by point 21.A.15(e).
If the applicant is not able to complete the product certification by the new target date, the
applicant may choose again between the two options of either submitting a new application or
applying for a new extension of the initial application.
21.A.19 Changes requiring a new type-certificate
Regulation (EU) No 748/2012
Any natural or legal person proposing to change a product shall apply for a new type-certificate if the
Agency finds that the change in design, power, thrust, or mass is so extensive that a substantially
complete investigation of compliance with the applicable type-certification basis is required.
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21.A.20 Demonstration of compliance with the type certification
basis, operational suitability data certification basis and
environmental protection requirements
Regulation (EU) 2019/897
(a)
Following the acceptance of the certification programme by the Agency, the applicant shall
demonstrate compliance with the type certification basis, operational suitability data
certification basis and environmental protection requirements, as established and notified to
the applicant by the Agency in accordance with points 21.B.80, 21.B.82, 21.B.85, and shall
provide the Agency with the means by which such compliance has been demonstrated.
(b)
The applicant shall report to the Agency any difficulty or event encountered during the process
of demonstration of compliance that may have an appreciable effect on the risk assessment
under point 21.A.15(b)(6) or on the certification programme, or may otherwise necessitate a
change to the level of involvement of the Agency previously notified to the applicant in
accordance with point 21.B.100(c).
(c)
The applicant shall record justifications of compliance within the compliance documents as
referred to in the certification programme.
(d)
After completion of all demonstrations of compliance in accordance with the certification
programme, including any inspections and tests in accordance with point 21.A.33, and after all
flight tests in accordance with point 21.A.35, the applicant shall declare that:
(e)
1.
it has demonstrated compliance with the type-certification basis, operational suitability
data certification basis and environmental protection requirements, as established and
notified by the Agency, following the certification programme as accepted by the Agency;
and
2.
no feature or characteristic has been identified that may make the product unsafe for the
uses for which certification is requested.
The applicant shall submit to the Agency the declaration of compliance provided for in point
(d). Where the applicant holds an appropriate design organisation approval, the declaration of
compliance shall be made in accordance with Subpart J and submitted to the Agency.
GM 21.A.20 Compliance demonstration process
ED Decision 2019/018/R
Point 21.A.20 applies to the compliance demonstration process for a type certificate (TC) (or a
restricted type certificate (RTC)) and, by cross references to Part 21 Subpart D and E, to compliance
demonstration processes for major changes to a TC (see point 21.A.97(b)(3)) and an STC (see point
21.A.115(b)(4)).
Applicants for a TC (or an RTC) should apply point 21.A.20 in full. Applicants for a major change to a
TC (or an STC) are required (see points 21.A.97(b)(3) and 21.A.115(b)(4)) to apply point 21.A.20 as
applicable to the change.
‘As applicable to the change’ means that:
— the certification programme to be followed is the one prepared for the major change or STC in
accordance with point 21.A.93, as accepted by EASA; and
— the certification basis (consisting of the type-certification basis, operational suitability data (OSD)
certification basis, and the environmental protection requirements) is the one established by EASA
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in accordance with point 21.A.101 and notified to the applicant in accordance with point 21.B.105
(for a major change to a TC) or point 21.B.109 (for an STC).
Point 21.A.20 also applies to major changes to a TC or an STC approved by design organisation
approval (DOA) holders under their privilege as per point 21.A.263(c)(8) or (9) (see also points
21.A.97(b)(3) and 21.A.115(b)(4)). As in this case there is no application and no EASA involvement,
point 21.A.20 should be applied with the following adaptions:
— the certification programme to be followed, including the certification basis and the detailed
means of compliance, should be almost identical to the one accepted by EASA for a major change
or an STC when approved for the scope of the privilege as per point 21.A.263(c)(8) or (9); it may
differ in some aspects (e.g. the detailed description of the changes), but it should be shown to
remain in the frame of the corresponding justification document; and
— the means by which such compliance has been demonstrated (see point 21.A.20(a)) and the final
declaration of compliance (see point 21.A.20(e)) should be kept on record and submitted to EASA
only if EASA requests them during its DOA continued surveillance process.
GM 21.A.20(b) Reporting on the compliance demonstration process
ED Decision 2019/018/R
The applicant should report to EASA any unexpected difficulty or event encountered during the
compliance demonstration that invalidates or appreciably affects the assumptions previously made,
for example:
— an increase in the severity of the consequences of a certain condition (e.g. failure mode) of the
product;
— significantly reduced margin(s) for the ‘pass–fail’ criteria of the compliance demonstration;
— changes to the test sequences and conditions that are not in line with the certification
specifications or guidance;
— an unusual interpretation of the results of the compliance demonstration; and
— any significant failure or finding resulting from the tests performed as per points 21.A.33 or
21.A.35.
The applicant should also evaluate whether the unexpected difficulty or event encountered will
impact on the certification programme and, if necessary, amend it as per point 21.A.15(c).
AMC 21.A.20(c) Compliance documentation
ED Decision 2019/018/R
1.
Compliance documentation comprises one or more test or inspection programmes/plans,
reports, drawings, design data, specifications, calculations, analyses, etc., and provides a record
of the means by which compliance with the applicable type-certification basis, the operational
suitability certification basis and environmental protection requirements is demonstrated.
2.
Each compliance document should normally contain:
— the reference of the certification specifications, special conditions or environmental
protection requirements addressed by the document;
— substantiation data
programmes/plans);
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— a statement by the applicant declaring that the document provides the proof of
compliance for which it has been created; and
— the appropriate authorised signature.
3.
Each compliance document should be unequivocally identified by its reference and issue date.
The various issues of a document should be controlled and comply with point 21.A.55.
GM 21.A.20(d) Final statement
ED Decision 2019/018/R
All compliance demonstrations in accordance with the certification programme, including all the
inspections and tests in accordance with point 21.A.33 and all flight tests in accordance with point
21.A.35, should be completed before the issuance of the final statement of compliance required by
point 21.A.20(d).
If so agreed by EASA, some compliance documentation may be produced after the issuance of the
final statement of compliance required by 21.A.20(d).
‘No feature or characteristics’ in point 21.A.20(d)2 means the following: while every effort is made to
address in the applicable certification basis all the risks to product safety or to the environment that
may be caused by the product, experience shows that safety-related events may occur with products
in service, even though compliance with the certification basis is fully demonstrated. One of the
reasons may be that some existing risks are not properly addressed in the certification basis.
Therefore, the applicant has to declare that they have not identified any such features or
characteristics.
Point 21.A.20 also applies by reference to minor changes, in which case the risk to product safety or
to environmental protection is quite low. Nevertheless, minor changes should not be approved if
either the applicant/design organisation approval (DOA) holder approving minor changes under their
privileges, or EASA, is aware of a feature or characteristic that may make the product unsafe for the
uses for which certification is requested.
21.A.21 Requirements for the issuance of a type certificate or
restricted type certificate
Regulation (EU) 2019/897
(a)
In order to be issued a product type certificate or, when the aircraft does not meet the essential
requirements of Annex II to Regulation (EU) 2018/1139 an aircraft restricted type certificate,
the applicant shall:
1.
demonstrate its capability in accordance with point 21.A.14;
2.
comply with point 21.A.20;
3.
demonstrate that the engine and propeller, if installed in the aircraft:
(A)
have a type-certificate issued or determined in accordance with this Regulation; or
(B)
have been demonstrated to be in compliance with the aircraft type-certification
basis established and the environmental protection requirements designated and
notified by the Agency as necessary to ensure the safe flight of the aircraft.
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By derogation from point (a)(2), at the applicant's request included in the declaration referred
to in point 21.A.20(d), the applicant is entitled to have the aircraft type-certificate or restricted
type-certificate issued before the applicant has demonstrated compliance with the operational
suitability data certification basis, provided that the applicant demonstrates such compliance
before the date at which those data are to be actually used.
GM 21.A.21(a)(3)(i) Clarification of the term ‘determined’
ED Decision 2021/011/R
A type certificate ‘determined’ in accordance with Part 21 means a type certificate, or a document
that allows the issuance of a certificate of airworthiness, issued before 28 September 2003 by a
Member State complying with Article 3(1)(a) of Regulation (EU) No 748/2012.
GM 21.A.21(b), 21.A.95(c), 21.A.97(c), 21.A.115(c), 21.B.103(b),
21.B.107(b) and 21.B.111(b) Approval of operational suitability data
(OSD)
ED Decision 2019/018/R
It is acknowledged that it may not always be possible to have the OSD available on the date of the
issue of the (restricted) type certificate ((R)TC), change approval or supplemental type certificate
(STC). The derogation provided by 21.A.21(b), 21.A.95(c), 21.A.97(c), 21.A.115(c), 21.B.103(b),
21.B.107(b) and 21.B.111(b) is intended for that case. The (R)TC, change approval or STC can be issued
before compliance with the OSD certification basis has been demonstrated.
However, the OSD needs to be approved before the data is used by a training organisation for the
purpose of obtaining a European Union (EU) licence, rating or attestation, or by an EU operator. This
is normally done before the entry into service of the first aircraft by an EU operator but it could also
be done later for some of the OSD constituents, such as the definition of the scope of validation source
data to support the objective qualification of a simulator, which should only be available when a
simulator has to be qualified.
The derogation provided in points 21.A.97(c), 21.A.115(c), 21.B.103(b), 21.B.107(b), and 21.B.111(b)
is applicable to all major changes to a TC, so it is also applicable to minor design changes when
triggering a major master minimum equipment list (MMEL) change, as well as to changes in which at
least one of the OSD constituent changes is major.
21.A.31 Type design
Regulation (EU) 2019/897
(a)
The type design shall consist of:
1.
the drawings and specifications, and a listing of those drawings and specifications,
necessary to define the configuration and the design features of the product shown to
comply with the applicable type-certification basis and environmental protection
requirements;
2.
information on materials and processes and on methods of manufacture and assembly
of the product necessary to ensure the conformity of the product;
3.
an approved airworthiness limitations section of the instructions for continued
airworthiness as defined by the applicable certification specifications; and
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SECTION A — TECHNICAL
REQUIREMENTS
any other data allowing by comparison the determination of the airworthiness and, if
relevant, the environmental characteristics of later products of the same type.
Each type design shall be adequately identified.
21.A.33 Inspections and tests
Regulation (EU) 2019/897
(a)
(Reserved)
(b)
Before each test is undertaken during the demonstration of compliance required by point
21.A.20, the applicant shall have verified:
1.
2.
for the test specimen, that:
(i)
the materials and processes adequately conform to the specifications for the
proposed type design;
(ii)
the parts of the products adequately conform to the drawings in the proposed type
design; and
(iii)
the manufacturing processes, construction and assembly adequately conform to
those specified in the proposed type design; and
for the test and measuring equipment to be used for the test, that those are adequate
for the test and appropriately calibrated.
(c)
On the basis of the verifications carried out in accordance with point (b), the applicant shall
issue a statement of conformity listing any potential non-conformity, together with a
justification that this will not affect the test results, and shall allow the Agency to make an
inspection it considers necessary to check the validity of that statement.
(d)
The applicant shall allow the Agency to:
(e)
1.
review any data and information related to the demonstration of compliance; and
2.
witness or carry out any test or inspection conducted for the purpose of the
demonstration of compliance.
For all the tests and inspections witnessed or carried out by the Agency in accordance with point
(d)(2):
1.
the applicant shall submit to the Agency a statement of conformity provided for in point
(c); and
2.
no change that affects the validity of the statement of conformity shall be made to the
test specimen, or the test and measuring equipment, between the time the statement of
conformity provided for in point (c) was issued and the time the test specimen is
presented to the Agency for test.
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AMC 21.A.33 Inspections and tests
ED Decision 2019/018/R
Use of the term ‘applicant’: point 21.A.33 is applicable to type certification, major changes, major
repairs and supplemental type certificates (STCs), and through reference in point 21.A.604 to ETSO for
auxiliary power units (APUs). Despite using the word ‘applicant’, it is also applicable to major changes,
major repairs and STCs approved under DOA privileges (see point 21.A.263(c)(5), (8) or (9)).
Proposed type design: this term defines the type design (or the portion of the type design) as it is
determined at the time when the inspection or test is undertaken.
Statement of conformity: for each certification inspection or test, the statement of conformity issued
in accordance with point 21.A.33(c) must address the conformity of the test specimen (see point
21.A.33(b)(1)) as well as of the test equipment and measuring equipment (see point 21.A.33(b)(2)).
Conformity of the test specimen: the statement of conformity required by point 21.A.33(c) is intended
to ensure that the manufactured test specimen adequately represents the proposed type design.
Possible types of non-conformity may be the following:
— Non-conformity between the design of the test specimen and the proposed type design at the
time of the test. These are typically identified in the early stage of the test planning, and should
be addressed as early as possible (e.g. in the test plan). There may be several reasons for such a
non-conformity: to account for interfaces with the test equipment, to conservatively cover several
or future design configurations, etc.
— Non-conformity between the manufactured test specimen and the design of the test specimen.
Such a non-conformity may be the result of the manufacturing of the test specimen.
While it is convenient to define any possible non-conformity in (a) as early as possible, the applicant
does not need to make the distinction between the two types of non-conformity above as long as they
are explicitly addressed and justified in the statement of conformity or by cross reference to the test
plan or other documents.
Type certification is typically an iterative process in which the design is under continuous evolution. If
the type design evolves after the time of the inspection or test, then the final type design should be
checked against the proposed type design (as it was at the time of the inspection or test), and the
differences (if any) should be analysed to ensure that the inspection or test results are representative
of the final configuration. However, such changes made to the type design may lead to the invalidation
of the inspection or test results and a need to repeat the inspection or test. It is recommended that
the design organisation should have a thorough configuration management process to track the
evolving type design.
Conformity of test and measuring equipment: the configuration of the test and measuring equipment
should be defined in the test plan and include the following:
— definition/design of the test equipment (relevant tools, mechanical parts, electronic components
used to execute the test); and
— definition of the measuring equipment:
— type/model of sensors, together with their technical characteristics;
— position and orientation of exciters and sensors; and
— electronic measuring equipment (in some cases, this may also include the acquisition
and post-processing of data).
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The configuration of the test and measuring equipment should be defined and controlled through
certification test plans and supporting documentation, according to the design assurance system, if
applicable. The test plan should also include the following elements:
— the test cases, methods, and procedures for test execution;
— the pass–fail criteria; and
— pre-, during- and post-test inspections.
The statement of conformity of point 21.A.33(c) should confirm that the test and measuring
equipment conform to its purpose, and that the sensors and measuring system are appropriately
calibrated. Any non-conformity should be assessed, and it should be justified that it will not
compromise the test purpose and results. This can be done either in the statement of conformity or
by cross reference to other documents (test minutes of meetings, test notes, etc.).
Use of the term ‘adequate’: the test specimen, as well as the test and measuring equipment, are
considered to be ‘adequate’ as long as the test execution on the manufactured test specimen
(including any non-conformity) and the use of the installed test set-up does not compromise the test
purpose and results (for example, by providing better performance than the proposed type design, or
masking any potential failure mode or behaviour).
Changes that affect the validity of the statement of conformity (see point 21.A.33(e)(2)): if changes
need to be introduced to the test specimen or to the test and measurement equipment after the
statement of conformity is issued (and before the test is undertaken), the statement of conformity
must be updated. The updated statement of conformity must be made available to EASA before the
test if EASA has informed the applicant that it will witness or carry out the tests.
Development versus certification tests: sometimes, tests of specimens that conform to a preliminary
design, but are not intended for certification (known as development tests), are performed as part of
a risk control strategy and to develop knowledge of a subject. Problems and failures found during
development are part of the process of increasing the understanding of the design, including its failure
modes and the potential for optimisation. Such development tests do not need to meet the
requirements of point 21.A.33.
Any planned test event should be classified in advance as either a development test or a certification
test. Tests that support the compliance demonstration should be classified as certification tests.
Nevertheless, if agreed by EASA, it is acceptable for a development test to finally form part of the
compliance demonstration, and it may be declared afterwards to be a certification test as long as it
meets the requirements of point 21.A.33. For this reason, it is important to keep the configuration of
such tests under the control of the design organisation.
In addition to this, the level of involvement (LoI) notified by EASA as per 21.B.100(c) should be taken
into account: if EASA has determined that it will witness or conduct a certain test, this test may need
to be repeated so that EASA can witness or conduct the test.
If the test specimen used for a certification test has already undergone a series of previous tests that
may affect or ultimately invalidate its acceptance as required by point 21.A.33(b), this aspect should
be considered when issuing the statement of conformity required by point 21.A.33(c), and specific
analyses or inspections may be required to support such a statement.
Because of the above aspects, EASA advises applicants to inform EASA if they intend to conduct a
campaign of development tests that may eventually be used as certification tests.
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Availability of compliance data (see point 21.A.33(d)(1)): data and information requested from the
applicant for review should be made available in a reliable and efficient way that is agreed between
the applicant and EASA.
Point 21.A.33(d)(1) refers to any data or information related to compliance data; the scope of that
requirement is therefore not limited to inspections and tests. In particular, point 21.A.33(d)(1) is not
limited to data and information related to compliance demonstration items (CDIs) in which EASA is
involved.
GM 21.A.33(d) Inspections and tests
ED Decision 2019/018/R
The applicant should inform EASA sufficiently in advance about the execution of inspections and tests
that are used for compliance demonstration purposes unless EASA has explicitly excluded these
inspections and tests from its involvement according to 21.B.100.
Additionally, the applicant may propose to EASA to perform or witness flight or other tests of
particular aspects of the product during its development and before the type design is fully defined.
However, before EASA performs or witnesses any flight test, the applicant should have performed
these tests already before EASA and should ensure that no features of the product preclude the safe
conduct of the evaluation requested.
EASA may require any such tests to be repeated once the type design is fully defined to ensure that
subsequent changes have not adversely affected the conclusions from any earlier evaluation.
A statement of conformity as per point 21.A.33(c) is also required for the above tests.
21.A.35 Flight Tests
Regulation (EU) No 748/2012
(a)
Flight testing for the purpose of obtaining a type-certificate shall be conducted in accordance
with conditions for such flight testing specified by the Agency.
(b)
The applicant shall make all flight tests that the Agency finds necessary:
1.
to determine compliance with the applicable type-certification basis and environmental
protection requirements; and
2.
to determine whether there is reasonable assurance that the aircraft, its parts and
appliances are reliable and function properly for aircraft to be certificated under this
Annex I (Part 21), except for,
(i)
sailplanes and powered sailplanes,
(ii)
balloons and airships defined in ELA1 or ELA2,
(iii)
aeroplanes of 2 722 kg or less maximum take-off mass (MTOM).
(c)
(Reserved)
(d)
(Reserved)
(e)
(Reserved)
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REQUIREMENTS
The flight tests prescribed in point (b)(2) shall include:
1.
for aircraft incorporating turbine engines of a type not previously used in a typecertificated aircraft, at least 300 hours of operation with a full complement of engines
that conform to a type-certificate; and
2.
for all other aircraft, at least 150 hours of operation.
GM 21.A.35 Flight Tests
ED Decision 2012/020/R
Detailed material on flight testing is included in the applicable CS and GM.
GM 21.A.35(b)(2) Objective and Content of Function and Reliability
Testing
ED Decision 2012/020/R
1.
OBJECTIVE
The objective of this testing is to expose the aircraft to the variety of uses, including training,
that are likely to occur when in routine service to provide an assurance that it performs its
intended functions to the standard required for certification and should continue to do so in
service.
2.
CONTENT OF FUNCTION AND RELIABILITY TESTING
The testing should cover both routine operations and some simulation of abnormal conditions.
The details of the programme should be agreed with the Agency prior to commencement of
testing.
It may be possible to combine this testing with any required to demonstrate compliance with
the applicable CS. This will be agreed on a case-by-case basis with the Agency.
Where possible, testing conditions should be defined with the co-operation of an operator.
A substantial proportion of the flying should be on a single aircraft. The flying should be carried
out to a continuous schedule on an aircraft that is very close to the final type design, operated
as though it were in service and should include a range of representative ambient operating
conditions and airfields.
GM 21.A.35(f)(1) Flying Time for Function and Reliability Testing
ED Decision 2012/020/R
All flying carried out with engines and associated systems not significantly different from the final
type-certificate standard may count towards the 300 hours airframe flight time required by
21.A.35(f)(1). At least 150 of the 300 flying hours should be conducted on a dedicated production
configured aircraft. The requirement for 300 hours relevant flight time whenever a new turbine engine
is incorporated applies regardless of whether the airframe/engine combination is subject to a new
type-certificate or is to be certificated as a change or supplement to an existing type-certificate.
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GM 21.A.35(f)(2) Flying Time for Function and Reliability Testing
ED Decision 2012/020/R
All flying carried out on an aircraft not significantly different from the final type design may count
towards the 150 hours airframe flight time required by 21.A.35(f)(2).
21.A.41 Type-certificate
Regulation (EU) 2021/699
The type-certificate and restricted type-certificate shall include the type design, the operating
limitations, the instructions for continued airworthiness, the type-certificate data sheet for
airworthiness and emissions, the applicable type-certification basis and environmental protection
requirements with which the Agency records compliance, and any other conditions or limitations
prescribed for the product in the applicable certification specifications and environmental protection
requirements. The aircraft type-certificate and restricted type-certificate shall include in addition the
applicable operational suitability data certification basis, the operational suitability data and the typecertificate data sheet for noise. The aircraft type-certificate and restricted type-certificate data sheet
shall include the record of CO2 emissions compliance and the engine type-certificate data sheet shall
include the record of exhaust emissions compliance.
21.A.44 Obligations of the holder
Regulation (EU) 2021/699
Each holder of a type-certificate or restricted type-certificate shall:
(a)
undertake the obligations laid down in points 21.A.3A, 21.A.3B, 21.A.4, 21.A.5, 21.A.6, 21.A.7,
21.A.62 and 21.A.65; and, for this purpose, shall continue to meet the qualification
requirements for eligibility under point 21.A.14; and
[applicable until 6 March 2023]
(a)
undertake the obligations laid down in points 21.A.3A, 21.A.3B, 21.A.4, 21.A.5, 21.A.6, 21.A.7,
21.A.9, 21.A.62 and 21.A.65, and, for this purpose, shall continue to meet the qualification
requirements for eligibility under point 21.A.13; and
[applicable from 7 March 2023 — Regulation (EU) 2022/201]
(b)
specify the marking in accordance with Subpart Q.
21.A.47 Transferability
Regulation (EU) No 748/2012
Transfer of a type-certificate or restricted type-certificate may only be made to a natural or legal
person that is able to undertake the obligations under point 21.A.44, and, for this purpose, has
demonstrated its ability to qualify under the criteria of point 21.A.14.
[applicable until 6 March 2023]
The transfer of a type-certificate or a restricted type-certificate or an ETSO authorisation for an
auxiliary power unit may only be made to a natural or legal person that is able to undertake the
obligations laid down in point 21.A.44, and, for this purpose, has demonstrated its capability in
accordance with point 21.A.14.
[applicable from 7 March 2023 — Regulation (EU) 2022/201]
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21.A.51 Duration and continued validity
Regulation (EU) No 748/2012
(a)
(b)
A type-certificate and restricted type-certificate shall be issued for an unlimited duration. They
shall remain valid subject to:
1.
the holder remaining in compliance with this Annex 1 (Part 21); and
2.
the certificate not being surrendered or revoked under the applicable administrative
procedures established by the Agency.
Upon surrender or revocation, the type-certificate and restricted type-certificate shall be
returned to the Agency.
21.A.62 Availability of operational suitability data
Regulation (EU) No 69/2014
The holder of the type-certificate or restricted type-certificate shall make available:
(a)
at least one set of complete operational suitability data prepared in accordance with the
applicable operational suitability certification basis, to all known EU operators of the aircraft,
before the operational suitability data must be used by a training organisation or an EU
operator; and
(b)
any change to the operational suitability data to all known EU operators of the aircraft; and
(c)
on request, the relevant data referred to in points (a) and (b) above, to:
1.
the competent authority responsible for verifying conformity with one or more elements
of this set of operational suitability data; and
2.
any person required to comply with one or more elements of this set of operational
suitability data.
GM to 21.A.62, 21.A.108 and 21.A.120B Availability of Operational
Suitability Data
ED Decision 2014/007/R
(a)
When making data available, the holder of the design approval (TC, change approval, STC)
should take into account the applicable security laws.
(b)
When making data available, the holder of the design approval can impose conditions
addressing the intellectual property nature of the data.
21.A.65 Continuing structural integrity for aeroplanes structures
Regulation (EU) 2021/699
The holder of the type-certificate or restricted type-certificate for a large aeroplane shall ensure that
the continuing structural integrity programme remains valid throughout the operational life of the
aeroplane, taking into account service experience and current operations.
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AMC1 21.A.65 Continuing structural integrity programme for
aeroplane structures
ED Decision 2021/007/R
Type-certificate (TC) or restricted type-certificate (RTC) holders for large aeroplanes should implement
a process to ensure the continuing structural integrity of the aeroplane’s structures following its entry
into service.
For those large aeroplanes subject to point 26.300 of Part-26, compliance with point 21.A.65 of Part 21
is demonstrated by complying with point 26.305 of Part-26 within the timescale indicated therein.
For other large aeroplanes, the process should be established considering the points described below:
(a)
Overall objectives
The objective of point 21.A.65 of Part 21 is to ensure that the continuing structural integrity
programme remains valid throughout the operational life of the aeroplane and will preclude
unsafe levels of fatigue cracking and other forms of structural degradation.
The intent is for (R)TC holders for large aeroplanes to monitor the continued validity of the
assumptions upon which the ICA related to the aeroplane structures are based, and to ensure
that unsafe levels of fatigue cracking or other structural deterioration will be precluded in
service.
To achieve this objective, (R)TC holders are expected to work together with aircraft operators.
The process should apply to all structures whose failure could contribute to a catastrophic
failure, and it is not limited to metallic structures or fatigue cracking, but should also encompass
composite and hybrid structures and associated failure modes.
(b)
Description of the process to maintain the validity of the continuing structural integrity
programme
The process to maintain the validity of the continuing structural integrity programme is either
continuous with each service finding, or is a regular review following several findings, or a
combination of both. It should include the following:
(1)
a plan to audit and report to EASA the effectiveness of the continuing structural integrity
programme, including the continuing validity of the assumptions upon which it is based,
prior to reaching any significant point in the life of the aeroplane;
(2)
criteria for summarising findings of fatigue, environmental or accidental damage and
their causes, and recording them in a way that allows any potential interaction to be
evaluated;
(3)
criteria to assess and record the relevance of each potential contributing factor to the
finding, including operational usage, fatigue load spectra, environmental conditions,
material properties, manufacturing processes and the fatigue- and damage-tolerance
analytical methods of analysis and their implementation;
(4)
criteria for establishing and revising sampling programmes to supplement the inspections
and other procedures established in compliance with the applicable fatigue- and
damage-tolerance requirements;
(5)
criteria for establishing when structures should be modified, or the inspection
programme revised, in the light of in-service damage findings;
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(6)
sunset criteria: the extent to which the above elements of the process require definition
may be tailored to the size of the fleet and its expected useful remaining life.
(7)
Additional means of compliance may be found in paragraph 5 and Appendix 5 to
AMC 20-20B.
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(SUBPART C — NOT APPLICABLE)
SUBPART D — CHANGES TO TYPE-CERTIFICATES AND RESTRICTED
TYPE-CERTIFICATES
21.A.90A Scope
Regulation (EU) No 69/2014
This Subpart establishes the procedure for the approval of changes to type-certificates, and
establishes the rights and obligations of the applicants for, and holders of, those approvals. This
Subpart also defines standard changes that are not subject to an approval process under this Subpart.
In this Subpart, references to type-certificates include type-certificate and restricted type-certificate.
GM 21.A.90A Scope
ED Decision 2019/018/R
The term ‘changes to the type certificate’ is consistently used in Part 21 Subpart D and E, as well as in
the related AMC and GM. This term does not refer to changing the document that reflects the type
certificate (TC) but to the elements of the TC as defined in 21.A.41. It means that the processes for the
approval of changes, as described in the said two Subparts, do not only apply to changes to the type
design, but may also apply to changes to:
— the operating limitations;
— the type certificate data sheet (TCDS) for airworthiness and emissions;
— the applicable type-certification basis and environmental protection requirements with which the
applicant has to demonstrate compliance;
— any other conditions or limitations prescribed for the product by EASA;
— the applicable operational suitability data (OSD) certification basis;
— the OSD; and
— the TCDS for noise.
NOTE: OSD is only applicable to aircraft TCs and not to engine or propeller TCs. Therefore, changes to
OSD are only relevant for changes to aircraft TCs.
21.A.90B Standard changes
Regulation (EU) 2021/699
(a)
Standard changes are changes to a type-certificate:
1.
in relation to:
(i)
aeroplanes of 5 700 kg Maximum Take-Off Mass (MTOM) or less;
(ii)
rotorcraft of 3 175 kg MTOM or less;
(iii)
sailplanes, powered sailplanes, balloons and airships, as defined in ELA1 or ELA2,
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2.
that follow design data included in the certification specifications issued by the Agency,
containing acceptable methods, techniques and practices for carrying out and identifying
standard, including the associated instructions for continued airworthiness; and
3.
that are not in changes conflict with TC holders data.
Points 21.A.91 to 21.A.109 are not applicable to standard changes.
GM 21.A.90B Standard changes — Certification Specifications
ED Decision 2015/016/R
CS-STAN contains the certification specifications referred to in 21.A.90B(a)2. Guidance on the
implementation of Standard Changes and Standard Repairs can be found in AMC M.A.801 of the
AMC to Part-M.
21.A.90C Stand-alone changes to the Instructions for Continued
Airworthiness
Regulation (EU) 2021/699
(a)
Stand-alone changes to the instructions for continued airworthiness are changes that are not
directly prepared as a result of a change to the type design or repair design.
(b)
Stand-alone changes to the instructions for continued airworthiness can only be made by the
holder of the design approval for which those instructions have been established.
(c)
Points 21.A.91 to 21.A.109 shall not apply to stand-alone changes to the instructions for
continued airworthiness that:
(d)
1.
do not affect the airworthiness limitations section of the instructions for continued
airworthiness, and
2.
do not require the design approval holder to perform any additional demonstration of
compliance with the certification basis.
Stand-alone changes to the instructions for continued airworthiness referred to in point (c) shall
be approved by the design approval holder under procedures agreed with the Agency.
GM1 21.A.90C Stand-alone changes
ED Decision 2021/007/R
Changes to the ICA are considered to be stand-alone changes when they are not directly prepared
together with a change to the type design. Stand-alone changes to the ICA are usually prepared and
issued, for example, for the purpose of making corrections, improvements, to include feedback from
users, or to provide alternatives.
Also, when the ICA are completed after the product (or change to the product) was approved, this is
considered to be a stand-alone change to the ICA.
When a non-ALS ICA change is triggered by a change to the type design, this does not affect the overall
classification of the type certificate change as per point 21.A.91.
Stand-alone changes are usually straightforward changes, and are not considered to require additional
work in order to show compliance. However, they must be managed in accordance with a process
accepted by EASA under point 21.A.239 or point 21.A.14(b), for discharging the obligation to keep the
ICA up to date.
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Examples of changes that may require additional activities in order to show compliance are changes
to the CDCCL, and EWIS ICA.
21.A.91 Classification of changes to a type-certificate
Regulation (EU) 2019/897
Changes to a type-certificate are classified as minor and major. A “minor change” has no appreciable
effect on the mass, balance, structural strength, reliability, operational characteristics, operational
suitability data, or other characteristics affecting the airworthiness of the product or its environmental
characteristics. Without prejudice to point 21.A.19, all other changes are “major changes” under this
Subpart. Major and minor changes shall be approved in accordance with points 21.A.95 or 21.A.97, as
appropriate, and shall be adequately identified.
GM 21.A.91 Classification of changes to a type certificate (TC)
ED Decision 2019/018/R
1.
PURPOSE OF CLASSIFICATION
Classification of changes to a type certificate (TC) into MAJOR or MINOR is to determine the
approval route to be followed in Part-21 Subpart D, i.e., either 21.A.95 or 21.A.97, or
alternatively whether application and approval has to be made in accordance with Part-21
Subpart E.
2.
INTRODUCTION
2.1
21.A.91 proposes criteria for the classification of changes to a TC as minor or major.
(a)
This GM is intended to provide guidance on the term ‘appreciable effect’ affecting
the airworthiness of the product or affecting any of the other characteristics
mentioned in 21.A.91, where ‘airworthiness’ is interpreted in the context of a
product in conformity with type design and in condition for safe operation. It
provides complementary guidelines to assess a change to the TC in order to fulfil
the requirements of 21.A.91 and 21.A.117 where classification is the first step of a
procedure.
Note: For classification of Repairs see GM 21.A.435(a).
(b)
2.2
Although this GM provides guidance on the classification of major changes, as
opposed to minor changes as defined in 21.A.91, the GM and 21.A.91 are deemed
entirely compatible.
For an ETSO authorisation, 21.A.611 gives specific requirements for design changes to
ETSO articles.
For APU, this GM 21.A.91 should be used.
3.
ASSESSMENT OF A CHANGE FOR CLASSIFICATION
3.1
Changes to the TC
21.A.91 addresses all changes to any of the aspects of a TC. This includes changes to a
type design, as defined in 21.A.31, as well as to the other constituents of a TC, as defined
in 21.A.41.
3.2
Reserved
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3.3
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Classification process (see also the flow chart ‘Classification process’ in Appendix A to GM
21.A.91)
21.A.91 requires all changes to be classified as either major or minor, using the criteria of
21.A.91.
Wherever there is doubt as to the classification of a change, EASA should be consulted
for clarification.
When the strict application of the paragraph 3.4 criteria results in a major classification,
the applicant may request reclassification, if justified, and EASA could take the
responsibility for reclassifying the change.
A simple design change planned to be mandated by an airworthiness directive may be
reclassified as minor due to the involvement of EASA in the continued airworthiness
process when this is agreed between EASA and the DOA holder.
The reasons for a classification decision should be recorded.
3.4
Complementary guidance for classification of changes
A change to the TC is judged to have an ‘appreciable effect on the mass, balance,
structural strength, reliability, operational characteristics, noise, fuel venting, exhaust
emission, operational suitability or other characteristics affecting the airworthiness,
environmental protection or operational suitability of the product’ and, therefore, should
be classified as major, in particular but not only, when one or more of the following
conditions are met:
(a)
where the change requires an adjustment of the type-certification basis or the OSD
certification basis (special conditions or equivalent safety findings) other than elect
to comply with later certification specifications;
(b)
where the applicant proposes a new interpretation of the certification
specifications used for the type certification basis or the OSD certification basis that
has not been published as AMC material or otherwise agreed with the Agency;
(c)
where the demonstration of compliance uses methods that have not been
previously accepted as appropriate for the nature of the change;
(d)
where the extent of new substantiation data necessary to comply with the
applicable certification specifications and the degree to which the original
substantiation data has to be re-assessed and re-evaluated is considerable;
(e)
where the change alters the airworthiness limitations or the operating limitations;
(f)
where the change is made mandatory by an airworthiness directive or the change
is the terminating action of an airworthiness directive (ref. 21.A.3B), see Note 1;
and
(g)
where the design change introduces or affects functions where the failure effect is
classified as catastrophic or hazardous.
Note 1: A change previously classified as minor and approved prior to the airworthiness
directive issuance decision needs no reclassification. However, EASA retains the
right to review the change and reclassify/reapprove it if found necessary.
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Note 2: The conditions listed in (a) through (g) above are an explanation of the criteria
noted in 21.A.91.
For an understanding of how to apply the above conditions, it is useful to take note of
the examples given in Appendix A to GM 21.A.91
3.5
Complementary guidance on the classification of changes to OSD
This paragraph provides firstly general guidance on minor OSD change classification, and
secondly additional guidance specific to each OSD constituent.
Changes to OSD are considered minor when they:
— incorporate optional information (representing improvements/enhancements);
— provide clarifications, interpretations, definitions or advisory text; or
— do not change the intent of the OSD document, e.g. changes to:
— titles, numbering, formatting, applicability;
— order, sequence, pagination; or
— sketches, figures, units of measurement, and correction of editorial mistakes
such as:
— spelling; or
— reference numbers.
Given the structure and individual intent of the separate OSD constituents, the
interpretation of ‘appreciable’ is also affected by the specific nature of the applicable
certification specifications (CS) for that constituent. Therefore, specific guidance on each
of the OSD constituents is provided hereafter.
(a)
Master minimum equipment list (MMEL)
(1)
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A change to the MMEL is judged to have an ‘appreciable effect on the
operational suitability of the aircraft’ and, therefore, should be classified as
major, in particular but not only when one or more of the following
conditions are met:
(i)
where the change requires an adjustment of the OSD certification
basis;
(ii)
where the applicant proposes changes to the means of compliance
with the requirements used for the OSD certification basis (i.e. MMEL
safety methodology);
(iii)
where the extent of substantiation data and the degree to which the
substantiation data has to be assessed and evaluated is considerable,
in particular but not only when:
(A)
the substantiation data involving the review of failure
conditions that are classified as hazardous or catastrophic has
to be evaluated;
(B)
the assessment of the failure effects (including next worst
failure/event effects) on crew workload and the applicable
crew procedures has to be evaluated; or
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the capability of the aircraft to perform types of operation (e.g.
extended-range twin operations (ETOPS), instrument flight
rules (IFR)) under MMEL is extended.
A change to the MMEL is judged not to have an ‘appreciable effect on the
operational suitability of the aircraft’ and, therefore, should be classified as
minor, in particular but not only when one or more of the following
conditions are met:
Modifications to an existing item when:
(i)
the change only corresponds to the applicability of an item for
configuration management purposes;
(ii)
the change corresponds to the removal of an item;
(iii)
the change corresponds to the increase in the number of items
required for dispatch; and
(iv)
the change corresponds to a reduction in the rectification interval of
an item.
Addition of a new item when:
(b)
(v)
it is considered as non-safety-related (refer to CS-MMEL, GM2
MMEL.110); or
(vi)
it is indicated as eligible for minor change classification in 1 to GM1
CS-MMEL-145.
Flight crew data (FCD)
(1)
FCD change related to change to the type design
When classifying the FCD change as minor or major, the method of CS-FCD,
Subpart D should be used.
(i)
(ii)
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An analysis should be performed to assess the change impact on the
FCD through the allocation of difference levels realised with operator
difference requirement (ODR) tables as per CS FCD.400. In this case,
the base aircraft is the aircraft without the type design change,
whereas the candidate aircraft is the aircraft which includes the type
design change.
(A)
If a no more than level B difference is assigned for training,
checking and currency for the candidate aircraft, the related
FCD change should be classified as minor.
(B)
If a difference level C, D or E for training, checking and currency
is assigned to the candidate aircraft, the related FCD change
should be classified as major.
Notwithstanding the above, the change to FCD should be classified as
major when a T1 or T2 test is found necessary by the applicant to
confirm that the aircraft with the type design change is not a new type
for pilot type rating.
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Stand-alone changes to FCD are not related to any type design changes. They
may be triggered for example by in-service experience or by the introduction
of data at the request of the applicant after type certification.
(i)
Introduction of credits in training, checking or currency should be
classified as major. Example: addition of further-differences training,
common take-off and landing credits, etc.
(ii)
Stand-alone changes to FCD that correspond to a change of the intent
of a data should be classified as major. Example: addition of a training
area of special emphasis (TASE) or prerequisite, expansion of a TASE.
Cabin crew data (CCD)
(1)
OSD change related to change to the type design
When classifying the OSD CCD change as minor or major, the method from
CS-CCD, Subpart B should be used.
(i)
(ii)
(2)
An analysis should be performed to assess the change impact on the
OSD CCD through the identification of the difference and its impact on
operation in the aircraft difference table (ADT) as per CS CCD.200. In
this case, the base aircraft is the aircraft without the type design
change, whereas the candidate aircraft is the aircraft which includes
the type design change.
(A)
If the difference has no impact on the operation of an element
of the ADT for the candidate aircraft, the related OSD CCD
change should be classified as minor.
(B)
If the difference has an impact on the operation of an element
of the ADT for the candidate aircraft, the related OSD CCD
change should be classified as major.
Notwithstanding the above, the change to OSD CCD should be
classified as major when an ADT analysis is found necessary by the
applicant to confirm that the aircraft with the type design change is
not a new type for cabin crew.
Stand-alone changes to OSD CCD are not related to any type design changes.
They may be triggered for example by in-service experience or by the
introduction of data at the request of the applicant after type certification.
(i)
Stand-alone changes to cabin aspects of special emphasis (CASE)
should be classified as major. Example: addition of further CASE,
expansion of CASE.
(ii)
When classifying stand-alone changes to type-specific data for cabin
crew the method from CS-CCD, Subpart B should be used. An analysis
should be performed to assess the change impact on the type-specific
data through the identification of the difference and its impact on
operation in the ADT as per CS CCD.200.
(A)
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If the change does not concern a determination element of
CS CCD.205, the stand-alone change should be classified as
minor.
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(B)
If the change has no impact on the operation of an element of
the ADT, the stand-alone change should be classified as minor.
(C)
If the change has an impact on the operation of an element of
the ADT, the stand-alone change should be classified as major.
Simulator data (SIMD)
The OSD constituent ‘simulator data’ does not include the data package that is
necessary to build the simulator. It includes only the definition of the scope of
validation source data to support the objective qualification of a simulator. So,
when this guidance discusses changes to ‘simulator data’, this concerns only
changes to the ‘definition of scope of validation source data’ and not changes to
the data package.
(1)
(2)
(e)
A change to the SIMD should be classified as major, in particular but not only
when one or more of the following conditions are met:
(i)
when a change to the SIMD introduces validation source data from an
engineering platform where the process to derive such data has not
been audited by the Agency in the initial SIMD approval; or
(ii)
when the process to derive validation source data from an
engineering platform is changed.
A change to the SIMD could be classified as minor, in particular but not only
when one or more of the following conditions are met:
(i)
changes to engineering validation data independent of the aircraft
due to improvements or corrections in simulation modelling
(e.g. aerodynamics, propulsion);
(ii)
configuration changes to the aircraft where the process to derive
validation source data from an engineering platform is unchanged;
(iii)
changes to validation source data by using better, more applicable
flight test data; or
(iv)
editorial changes to the validation data roadmap (VDR).
Maintenance certifying staff data (MCSD)
[Reserved]
3.6
Complementary guidance for the classification of changes to aircraft flight manuals
(AFMs)
The following changes to the AFM are deemed to be minor:
(a)
revisions to the AFM associated with changes to the type design that are classified
as minor in accordance with point 21.A.91;
(b)
revisions to the AFM that are not associated with changes to the type design (also
identified as stand-alone revisions) which fall into one of the following categories:
(1)
changes to limitations or procedures that remain within already certified
limits (e.g. weight, structural data, noise, etc.);
(2)
consolidation of two or more previously approved and compatible AFMs into
one, or the compilation of different parts taken from previously approved
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and compatible AFMs that are directly applicable to the individual aircraft
(customisation); and
(3)
(c)
administrative revisions to the AFM, defined as follows:
(1)
(2)
3.7
the introduction into a given AFM of compatible and previously approved
AFM amendments, revisions, appendices or supplements; and
for the AFMs issued by the TC holder:
(i)
editorial revisions or corrections to the AFM;
(ii)
changes to parts of the AFM that do not require approval by EASA;
(iii)
conversions of previously Federal Aviation Administration (FAA)- or
EASA-approved combinations of units of measurement added to the
AFM in a previously approved manner;
(iv)
the addition of aircraft serial numbers to an existing AFM where the
aircraft configuration, as related to the AFM, is identical to the
configuration of aircraft already covered by that AFM;
(v)
the removal of references to aircraft serial numbers no longer
applicable to that AFM; and
(vi)
the translation of an EASA-approved AFM into the language of the
State of design or State of registration;
for AFM supplements issued by STC holders:
(i)
editorial revisions or corrections to the AFM supplement;
(ii)
changes to parts of the AFM supplement that are not required to be
approved by EASA;
(iii)
conversions of previously FAA- or EASA-approved combinations of
units of measurement added to the AFM supplement in a previously
approved manner;
(iv)
the addition of aircraft serial numbers to an existing AFM supplement
where the aircraft configuration, as related to the AFM supplement,
is identical to that of the aircraft already in that AFM supplement;
‘identical’ means here that all the aircraft have to belong to the same
type and model/variant;
(v)
the addition of a new STC to an existing AFM supplement, when this
supplement is fully applicable to the new STC;
(vi)
the removal of references to aircraft serial numbers that are no longer
applicable to that AFM supplement;
(vii)
the translation of an EASA-approved AFM supplement into the
language of the State of design or the State of registration.
Complementary guidance for classification of changes to environmental protection
characteristics See Section 8 of Appendix A to GM 21.A.91.
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Appendix A to GM 21.A.91 Examples of Major Changes per
discipline
ED Decision 2021/007/R
The information below is intended to provide a few major change examples per discipline, resulting
from application of 21.A.91 and paragraph 3.3 conditions. It is not intended to present a
comprehensive list of all major changes. Examples are categorised per discipline and are applicable to
all products (aircraft, engines and propellers). However a particular change may involve more than
one discipline, e.g., a change to engine controls may be covered in engines and systems (software).
Those involved with classification should always be aware of the interaction between disciplines and
the consequences this will have when assessing the effects of a change (i.e., operations and structures,
systems and structures, systems and systems, etc.; see example in paragraph 2 (ii).
Specific rules may exist which override the guidance of these examples.
In the Part 21 a negative definition is given of minor changes only. However in the following list of
examples it was preferred to give examples of major changes.
Where in this list of examples the words ‘has effect’ or ‘affect(s)’ are used, they have always to be
understood as being the opposite of ‘no appreciable effect’ as in the definition of minor change in
21.A.91. Strictly speaking the words ‘has appreciable effect’ and ‘appreciably affect(s)’ should have
been used, but this has not been done to improve readability.
1.
2.
Structure
(i)
changes such as a cargo door cut-out, fuselage plugs, change of dihedral, addition of
floats;
(ii)
changes to materials, processes or methods of manufacture of primary structural
elements, such as spars, frames and critical parts;
(iii)
changes that adversely affect fatigue or damage tolerance or life limit characteristics;
(iv)
changes that adversely affect aeroelastic characteristics.
Cabin Safety
(i)
changes which introduce a new cabin layout of sufficient change to require a reassessment of emergency evacuation capability or which adversely affect other aspects
of passenger or crew safety.
Items to consider include, but are not limited to, :
— changes to or introduction of dynamically tested seats.
— change to the pitch between seat rows.
— change of distance between seat and adjacent obstacle like a divider.
— changes to cabin lay outs that affect evacuation path or access to exits.
— installation of new galleys, toilets, wardrobes, etc.
— installation of new type of electrically powered galley insert.
(ii)
changes to the pressurisation control system which adversely affect previously approved
limitations.
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Flight
Changes which adversely affect the approved performance, such as high altitude operation,
brake changes that affect braking performance.
Changes which adversely affect the flight envelope.
Changes which adversely affect the handling qualities of the product including changes to the
flight controls function (gains adjustments, functional modification to software) or changes to
the flight protection or warning system.
4.
Systems
For systems assessed under CS 25.1309, the classification process is based on the functional
aspects of the change and its potential effects on safety.
(i)
Where failure effect is 'Catastrophic' or 'Hazardous', the change should be classified as
major.
(ii)
Where failure effect is 'major', the change should be classified as major if:
— aspects of the compliance demonstration use means that have not been previously
accepted for the nature of the change to the system; or
— the change affects the pilot/system interface (displays, controls, approved
procedures); or
— the change introduces new types of functions/systems such as GPS primary, TCAS,
Predictive windshear, HUD.
The assessment of the criteria for software changes to systems also needs to be performed.
When software is involved, account should be taken also of the following guidelines:
Where a change is made to software produced in accordance with the guidelines of the latest
edition of AMC 20-115 (see AMC-20 document) the change should be classified as major if
either of the following apply, and the failure effect is Catastrophic, Hazardous or Major:
(i)
the executable code for software, determined to be Level A or Level B in accordance with
the guidelines, is changed unless that change involves only a variation of a parameter
value within a range already verified for the previous certification standard; or
(ii)
the software is upgraded to or downgraded from Level A, Level B or Level C; or
(iii)
the executable code, determined to be level C, is deeply changed, e.g., after a software
re-engineering process accompanying a change of processor.
For software developed to guidelines other than the latest edition of AMC 20-115, the applicant
should assess changes in accordance with the foregoing principles.
For other codes the principles noted above may be used. However, due consideration should
be given to specific certification specifications/interpretations.
In the context of a product information security risk assessment (PISRA), a change that may
introduce the potential for unauthorised electronic access to product systems should be
considered to be ‘major’ if there is a need to mitigate the risks for an identified unsafe condition.
The following examples do not provide a complete list of conditions to classify a modification
as major, but rather they present the general interactions between security domains. Examples
of modifications that should be classified as ‘major’ are when any of the following changes
occur:
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A new digital communication means, logical or physical, is established between a more
closed, controlled information security domain, and a more open, less controlled security
domain.
— For example, in the context of large aircraft, a communication means is established
between the aircraft control domain (ACD) and the airline information services
domain (AISD), or between the AISD and the passenger information and
entertainment services domain (PIESD) (see ARINC 811).
As an exception, new simplex digital communication means (e.g. ARINC 429) from
a controlled domain to a more open domain is not considered as major
modification, if it has been verified that the simplex control cannot be reversed by
any known intentional unauthorised electronic interaction (IUEI).
— A new service is introduced between a system of a more closed, controlled information
security domain and a system of a more open, less controlled security domain, which
allows the exploitation of a vulnerability of the service that has been introduced,
creating a new attack path.
For example:
— opening and listening on a User Datagram Protocol (UDP) port in an end system of an
already certified topology;
— activating a protocol in a point-to-point communication channel.
— The modification of a service between a system of a more closed, controlled security
domain and a system of a more open, less controlled security domain.
— The modification of a security control between a system of a more closed, controlled
information security domain and a system of a more open, less controlled security
domain.
5.
Propellers
Changes to:
— diameter
— airfoil
— planform
— material
— blade retention system, etc.
6.
Engines
Changes:
(i)
that adversely affect operating speeds, temperatures, and other limitations.
(ii)
that affect or introduce parts identified by CS E-510 where the failure effect has been
shown to be hazardous.
(iii)
that affect or introduce engine critical parts (CS E-515) or their life limits.
(iv)
to a structural part which requires a re-substantiation of the fatigue and static load
determination used during certification.
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(v)
to any part of the engine which adversely affects the existing containment capability of
the structure.
(vi)
that adversely affect the fuel, oil and air systems, which alter the method of operation,
or require reinvestigation against the type-certification basis.
(vii)
that introduce new materials or processes, particularly on critical components.
Rotors and drive systems
Changes that:
(i)
adversely affect fatigue evaluation unless the service life or inspection interval are
unchanged. This includes changes to materials, processes or methods of manufacture of
parts, such as
— rotor blades
— rotor hubs including dampers and controls
— gears
— drive shafts
— couplings
(ii)
affect systems the failure of which may have hazardous or catastrophic effects. The
design assessment will include:
— cooling system
— lubrication system
— rotor controls
8.
(iii)
adversely affect the results of the rotor drive system endurance test, the rotor drive
system being defined in CS 27/29.917.
(iv)
adversely affect the results of the shafting critical speed analysis required by
CS 27/29.931.
Environment
The introductory text to Appendix A to GM 21.A.91 describes how in Part 21 a negative
definition is given of minor changes only. This philosophy is similar to the manner in which the
ICAO Standards and Recommended Practices for environmental protection (ICAO Annex 16)
and the associated Guidance Material (ICAO Environmental Technical Manual) define changes
affecting a product’s environmental characteristics in terms of ‘no-acoustical changes’, ‘noemissions changes’ and ‘no-CO2 changes’ (i.e. changes which do not appreciably affect the
product’s environmental characteristics).
Following the general philosophy of this Appendix, however, it is preferred to give examples of
changes which might have an appreciable effect on a product’s environmental characteristics
(i.e. the effect might be greater than the no-acoustic change, no-emissions change and no-CO2
change criteria) and might therefore lead to a ‘major change’ classification.
Where a change is made to an aircraft or aircraft engine, the effect of the change on the
product’s environmental characteristics should be taken into account. Examples of changes that
might have an appreciable effect on the product’s environmental characteristics, and might
therefore be classified as major changes, are listed below. The examples are not exhaustive and
will not, in every case, result in an appreciable change to the product’s environmental
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characteristics, and therefore, will not per se and in every case result in a ‘major change’
classification.
An appreciable effect is considered to be one which exceeds the ICAO criteria for a no-acoustical
change, a no-emissions change or a no-CO2 change. For the definition of a no-acoustical change
refer to the section of the ICAO Environmental Technical Manual, Volume I (ICAO Doc 9501,
Volume I – Procedures for the Noise Certification of Aircraft) concerning changes to aircraft type
designs involving no-acoustical changes (see also the definitions of a ‘derived version’ in ICAO
Annex 16, Volume I). For the definition of a no-emissions change, refer to the section of the
ICAO Environmental Technical Manual, Volume II (ICAO Doc 9501, Volume II – Procedures for
the Emissions Certification of Aircraft Engines) concerning no-emissions changes. For the
definition of a no-CO2 change, refer to ICAO Doc 9501 ‘Environmental Technical Manual’,
Volume III ‘Procedures for the CO2 Emissions Certification of Aeroplanes’, 1st Edition 2018,
concerning no-CO2 changes.
(i)
Noise: A change that introduces either:
—
—
an increase in the noise certification level(s); or
a reduction in the noise certification level(s) for which the applicant wishes to take
credit.
Examples of noise-related changes that might lead to a major change classification are:
(1)
For jet and heavy (maximum take-off mass greater than 8 618 kg) propeller-driven
aeroplanes:
— A change that might affect the aircraft’s take-off performance including:
— a change to the maximum take-off mass;
— a change to V2 (‘take-off safety speed’); or
— a change to the lift augmentation devices, including their configuration
under normal take-off operating conditions.
— A change that might affect the aircraft’s landing performance including:
— a change to the maximum landing mass;
— a change to VREF (reference landing speed); or
— a change to the lift augmentation devices, including their deployment
under normal landing operating conditions.
— A change to the Centre of Gravity (CG) limits;
— A change that increases the aircraft’s drag;
— A change that alters the external profile of the aircraft, including the
installation or change of shape or size of any item on the external surface of
the aircraft that might protrude into the airflow such as winglets and vortex
generators; generally the installation of small antennas does not represent an
acoustical change;
— A change that introduces an open-ended hollow cavity at more or less right
angles to the airflow (e.g. hollow pins in undercarriage assemblies);
— A change of engine or, if fitted, propeller type;
— A change in engine thrust rating;
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— A change to the engine rotating parts or stators, such as geometry, blade
profile or blade number;
— A change to the aerodynamic flow lines through the engine;
— A change that affects the engine thermodynamic cycle, including a change to
the engine’s bypass ratio;
— A change to the engine nacelle, including a change to the acoustic liners;
— A change to the engine exhaust;
— A change to the engine bleed valves, including bleed valve scheduling;
— A change in the operation of engine power off-takes (e.g. the operation of the
Environmental Control System (ECS) during a normal take-off or approach);
— A change to the Auxiliary Power Unit (APU), including associated operating
limitations (e.g. a change that allows the APU to be operated during a normal
approach when previously it was not allowed);
— A change to the propeller pitch and/or propeller speed during a normal takeoff or approach;
— A change that causes a change to the angle at which air flows into the
propeller.
(2)
For light (maximum take-off mass 8 618 kg or less) propeller-driven aeroplanes:
— A change that might affect the aircraft’s take-off performance including:
— a change to the maximum take-off mass;
— a change to the take-off distance;
— a change to the rate of climb; or
— a change to Vy (best rate of climb speed).
— A change that increases the aircraft’s drag (e.g. the installation of external
cargo pods, external fuel tanks, larger tyres to a fixed undercarriage, floats
etc.);
— A change of engine or propeller type;
— A change in take-off power including a change in engine speed (tachometer
‘red line’) or, for piston engines, a change to the manifold pressure limitations;
— A change to the highest power in the normal operating range (‘top of green
arc’);
— In the case of an aircraft where take-off power/engine speed is time limited, a
change in the period over which take-off power/engine speed may be applied;
— A change to the engine inlet or exhaust including, if fitted, the inlet or exhaust
muffler;
— A change in propeller diameter, tip shape, blade thickness or the number of
blades;
— The installation of a variable or adjustable pitch propeller in place of a fixed
pitch propeller and vice versa;
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— A change that causes a change to the angle at which air flows into the
propeller.
(3)
For helicopters:
— A change that might affect the take-off and/or landing performance, including
a change in take-off mass and VY (best rate of climb speed);
— A change to VNE (never-exceed airspeed) or to VH (airspeed in level flight
obtained using the torque corresponding to minimum engine installed,
maximum continuous power available for sea level pressure, 25°C ambient
conditions at the relevant maximum certificated mass);
— A change to the maximum take-off engine power or maximum continuous
power;
— A change to the gearbox torque limits;
— A change of engine type;
— A change to the engine intake or exhaust;
— A change to the maximum normal operating rpm of the main or tail rotors;
— A change to the main or tail rotors, including a change in diameter, blade
thickness or blade tip profile.
Note: The effect on the helicopter’s noise characteristics of either carrying external
loads or the installation of external equipment need not be considered.
(ii)
Emissions: A change that introduces an increase or decrease in the emissions certification
levels. Examples of smoke and gaseous engine emission-related changes that might lead
to a major change classification are:
— A change in engine thrust rating;
— A change to the aerodynamic flow lines through the engine;
— A change that affects the engine thermodynamic cycle, specifically relevant engine
cycle parameters (e.g. combustor pressure P3, combustor entry temperature T3, Air
Fuel Ratio (AFR));
— A change to the compressor that might influence the combustor inlet conditions and
engine overall pressure ratio;
— A change to the combustor design (geometry);
— A change to the cooling of the combustor;
— A change to the air mass flow through the combustor;
— A change that affects the fuel spray characteristics.
(iii)
CO2: a change that introduces either:
— an increase in the CO2 emissions certification level; or
— a decrease in the CO2 emissions certification level for which an applicant wishes to
take credit.
Examples of CO2 emission-related changes that may lead to a ‘major change’ classification
are:
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— a change to the maximum take-off mass;
— a change that may affect the aeroplane’s specific air range performance, including
one or several of the following:
— a change that increases the aircraft’s drag;
— a change of engine or, if fitted, propeller type;
— a change in the engine design that affects the engine specific fuel consumption
in cruise.
— a change to the aeroplane’s reference geometric factor (RGF).
9.
Power plant Installation
Changes which include:
10.
(i)
control system changes which affect the engine/propeller/airframe interface;
(ii)
new instrumentation displaying operating limits;
(iii)
modifications to the fuel system and tanks (number, size and configuration);
(iv)
change of engine/propeller type.
Stand-alone changes to non-ALS ICA that require additional work to demonstrate compliance
with the applicable certification basis as follows:
(i)
changes related to accomplishment instructions (e.g. to the aircraft maintenance
manual) related to the CDCCL, or the EWIS ICA, for which the technical content (e.g. gaps,
steps) of the procedures is changed;
(ii)
the introduction of novel technology for inspection purposes related to an ALS task;
(iii)
changes that adversely affect the certification assumptions: e.g. some specific inspection
procedures, such as inspection procedures for use after a hard landing, may include a
decision-making chart based on the level of exceedance of the load in comparison with
the certified limit loads; such criteria, and adverse changes, need to be agreed with EASA.
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SECTION A — TECHNICAL
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Classification Process
Change to a type certificate (TC)
Goal: classification of changes to a TC as per point 21.A.91
Is there any appreciable effect on:
1.
2.
3.
4.
5.
6.
7.
8.
mass,
balance,
structural strength,
reliability,
operational characteristics,
environmental characteristics,
operational suitability, or
any other characteristics
Yes
that affect the airworthiness of the product?
No
No
Is there any appreciable effect on any of the following?
For design changes (please refer to Section 3.4):
9.
adjustment of the type-certification basis;
10.
a new interpretation of the requirements used for
For changes to OSD
the type-certification basis;
constituents, please
11.
aspects of compliance demonstration that were
refer to Section 3.4,
not previously accepted;
as applicable, and
12.
there is a considerable extent of new
Section 3.5.
substantiation data as well as a considerable degree of
reassessment and re-evaluation;
13.
the airworthiness limitations or the operating
limitations are altered;
14.
the change is mandated by an airworthiness
directive (AD) or a terminating action of an AD; or
15.
the change introduces or affects a function where
the failure condition is catastrophic or hazardous.
16.
See also Appendix A: examples:
See also examples
1. Structure, 2. Cabin safety, 3. Flight, 4. Systems,
in Section 3.5.
5. Propellers, 6. Engines, 7. Rotors and drive systems,
8. Environment, 9. Power plant installation,
10. Stand-alone changes to ICA.
EASA decides on
classification
Minor
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Request for
reclassification
Yes
Yes
No
Any good reason to
reclassify it as ‘minor’?
Major
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21.A.92 Eligibility
Regulation (EU) No 69/2014
(a)
Only the type-certificate holder may apply for approval of a major change to a type-certificate
under this Subpart; all other applicants for a major change to a type-certificate shall apply under
Subpart E.
(b)
Any natural or legal person may apply for approval of a minor change to a type-certificate under
this Subpart.
21.A.93 Application
Regulation (EU) 2021/699
(a)
An application for approval of a change to a type-certificate shall be made in a form and manner
established by the Agency.
(b)
An application shall include, or be supplemented after the initial application by, a certification
programme for the demonstration of compliance in accordance with point 21.A.20, consisting
of:
1.
a description of the change identifying:
(i)
the configuration(s) of the product in the type certificate upon which the change is
to be made;
(ii)
all areas of the product in the type-certificate, including the approved manuals,
that are changed or affected by the change; and
(iii)
when the change affects the operational suitability data, any necessary changes to
the operational suitability data;
2.
an identification of any reinvestigations necessary to demonstrate compliance of the
change and areas affected by the change with the type-certification basis, operational
suitability data certification basis and environmental protection requirements; and
3.
for a major change to a type-certificate:
(i)
a proposal for the initial type-certification basis, operational suitability data
certification basis and environmental protection requirements, prepared in
accordance with the requirements and options specified in point 21.A.101;
(ii)
a proposal for a breakdown of the certification programme into meaningful groups
of compliance demonstration activities and data, including a proposal for the
means of compliance and related compliance documents;
(iii)
a proposal for the assessment of the meaningful groups of compliance
demonstration activities and data, addressing the likelihood of an unidentified
non-compliance with the type-certification basis, operational suitability data
certification basis or environmental protection requirements and the potential
impact of that non-compliance on product safety or environmental protection. The
proposed assessment shall take into account at least the elements set out in
subpoints (1)–(4) of point 21.B.100(a). Based on this assessment, the application
shall include a proposal for the Agency's involvement in the verification of the
compliance demonstration activities and data; and
(iv)
a project schedule including major milestones.
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(c)
Annex I
SECTION A — TECHNICAL
REQUIREMENTS
An application for a change to a type-certificate of a large aeroplane or a large rotorcraft shall
be valid for five years and an application for a change to any other type-certificate shall be valid
for three years. In the case where the change has not been approved, or it is evident that it will
not be approved, within the time limit provided for in this point, the applicant may:
1.
submit a new application for a change to the type-certificate and comply with the typecertification basis, operational suitability data certification basis and environmental
protection requirements, as established by the Agency in accordance with point 21.A.101
and notified in accordance with point 21.B.105 for the date of the new application; or
2.
apply for an extension of the time period provided for in the first sentence of point (c) for
the original application and propose a new date for the issuance of the approval. In that
case, the applicant shall comply with the type-certification basis, operational suitability
data certification basis and environmental protection requirements, as established by the
Agency in accordance with point 21.A.101 and notified in accordance with point 21.B.105,
for a date to be selected by the applicant. However, that date shall not precede the new
date proposed by the applicant for the issuance of the approval by more than five years
for an application for a change to type-certificate or restricted type-certificate for a large
aeroplane or a large rotorcraft, and by more than three years for an application for a
change to any other type-certificate or restricted type certificate.
AMC 21.A.93(a) Form and manner
ED Decision 2019/018/R
The applicant should file an application using the web-based ‘EASA Applicant Portal’1 or the
application forms for the approval of major changes/major repair designs (FO.CERT.00031)2 or for the
approval of minor changes/minor repair designs (FO.CERT.00032)3, which may be downloaded from
the EASA website.
The forms should be completed in accordance with the instructions embedded at the bottom of the
application forms, and sent to EASA by fax, email or regular mail following the information provided
on the EASA website4.
AMC 21.A.93(b) Certification programme for a change to a TC or an
STC
ED Decision 2019/018/R
The description of the change should include an explanation of the purpose of the change, the premodification and post-modification configuration(s) of the product, schematics/pictures, and any
other detailed features and boundaries of the physical change (this may be supplemented by drawings
or outlines of the design, if this helps to understand the design change), as well as the identification
of the changes in areas of the product that are functionally affected by the change, and the
1
https://ap.easa.europa.eu (changes to the link provided may not be reflected in this document).
2
https://www.easa.europa.eu/document-library/application-forms/focert00031 (changes to the link provided may not be reflected in
this document).
3
https://www.easa.europa.eu/document-library/application-forms/focert00032 (changes to the link provided may not be reflected in
this document).
4
https://www.easa.europa.eu/document-library/application-forms/certificates-and-approvals (changes to the link provided may not be
reflected in this document).
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Annex I
SECTION A — TECHNICAL
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identification of any changes to the approved manuals. Guidance on areas that are changed and
affected by the change is found in GM 21.A.101, Section 3.9.1.
Identification of reinvestigations referred to in point 21.A.93(b)(2), necessary to demonstrate
compliance, does not mean the demonstration of compliance itself, but the list of affected items of
the applicable certification basis for which a new demonstration is necessary, together with the means
(e.g. calculation, test or analysis) by which it is proposed to demonstrate compliance.
Before submitting the application for a change, the analysis and classification activities of points
21.A.91 and 21.A.101 should be performed using the corresponding GM. For repair designs, the
analysis of point 21.A.91 should be performed using GM 21.A.435(a).
For a major change, AMC 21.A.15(b) should be used as applicable to the change.
GM No 1 to 21.A.93(b)(1)(iii) Interaction of changes to the type
design and changes to operational suitability data (OSD)
ED Decision 2019/018/R
In general, it has to be assumed that changes to the type design can have an effect on the OSD.
Due to the alleviating nature of the OSD constituent master minimum equipment list (MMEL), the
impact of design changes on the MMEL can be treated differently from the impact on other OSD
constituents. Therefore, a separate GM No 2 to 21.A.93(b)(1)(iii) is available to explain the interaction
between design changes and the MMEL. The following guidance is, therefore, only applicable to the
other OSD constituents: flight crew data (FCD), cabin crew data (CCD), simulator data (SIMD), and
maintenance certifying staff data (MCSD).
In assessing the interactions between the changes to the type design and to the OSD, the following
can be taken into consideration (see Figure 1):
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SECTION A — TECHNICAL
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Figure 1
(a)
Changes to the type certificate (TC) that only include a minor change to the type design (‘stand-alone’ type design
changes) do not have an effect on the OSD. No dedicated assessment of the effects of the minor type design change
on the OSD is needed in this case.
(b)
TC changes that only include a major type design change do not need to be assessed for their effect on the OSD in
case the experience of the applicant has demonstrated that similar changes do not have an effect on the OSD.
Examples of major type design changes and their expected effect on OSD constituents are identified in Table 1 below.
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Table 1: Examples of major type design changes and their expected impact on OSD constituents
Discipline
Structure
Cabin safety
Flight
Systems
1
Expected impact on OSD constituent
Example of major type design change
FCD
SIMD
CCD
MCSD
(i) Changes such as a cargo door cutout, fuselage plugs, change to
dihedral, addition of floats.
(ii) Changes to material, processes or
methods of manufacture, or to
primary structural elements such as
spars, frames and critical parts.
(iii) Changes that adversely affect fatigue
or damage tolerance or life limit
characteristics.
(iv) Changes that adversely affect
aeroelastic characteristics.
(v) Aircraft weight changes such as
maximum zero fuel weight (MZFW)
changes or reduction in maximum
take-off weight (MTOW) for
operational considerations.
(i) Changes which introduce a new
cabin layout of a sufficient extent to
require a reassessment of the
emergency evacuation capability, or
which adversely affect other aspects
of passenger or crew safety in
aeroplanes with more than
19 passenger seats.
(ii) Changes which introduce new cabin
layout of a sufficient extent to
require a reassessment of the
emergency evaluation capability, or
which adversely affect other aspects
of passenger or crew safety in
aeroplanes with 19 or less passenger
seats.
(iii) Installation of observer seat.
No
No
No
tbd1
No
No
No
tbd
No
No
No
tbd
No
No
No
tbd
No
No
No
No
No
No
Yes,
potential
impact
No
No
No
No (unless
assessment
identifies
need for
CCD
No
No
No
No
(i) Software changes that do not affect
the pilot interface.
(ii) Software changes that affect the
pilot interface.
No
No
Yes,
potential
impact
No
Yes,
potential
impact
No
No
No
No
No
No
No
(i) Updating the aircraft cockpit voice
recorder (CVR) or flight data
recorder (FDR) to meet a later
standard.
No
To be determined under rulemaking task RMT.0106 (21.039(e)).
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Discipline
Propellers
Engines
Rotors and
drive systems
Environment
Power plant
installation
Avionics
Annex I
SECTION A — TECHNICAL
REQUIREMENTS
Expected impact on OSD constituent
Example of major type design change
FCD
SIMD
CCD
MCSD
(i) Changes to:
— diameter,
— aerofoil,
— planform,
— material, and
— blade retention system.
(i) Power limit change
[Reserved]
No
No
No
No
No
No
No
No
(i) A change that introduces either an
increase in the noise certification
level(s) or a reduction in the noise
certification level(s) for which the
applicant wishes to take credit.
(i) Modifications to the fuel system and
tanks (number, size, or
configuration)
Comprehensive flight deck upgrade,
such as conversion from entirelyfederated, independent
electromechanical flight instruments to
highly-integrated and combined
electronic display systems with extensive
use of software and/or complex
electronic hardware
No
No
No
No
No
No
No
tbd
Yes,
potential
impact
No
No
tbd
(c)
Design changes to aircraft for which OSD is not required in accordance with Article 7(a)(2) of
Regulation (EU) No 748/2012, as amended by Regulation (EU) No 69/2014, cannot trigger the
need to establish OSD.
(d)
The OSD constituents SIMD and MCSD were not required to be included in the ‘catch-up’ OSD
in accordance with Article 7(a)(2) of Regulation (EU) No 748/2012, as amended by Regulation
(EU) No 69/2014. No design change can trigger the need to add that constituent.
(e)
When the design change makes an OSD constituent applicable (see GM No 1 to 21.A.15(d) –
Clarification of the applicability of operational suitability data (OSD) constituents) where it was
not applicable before, that OSD constituent should be added to the application for the approval
of the change to the TC.
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GM No 2 to 21.A.93(b)(1)(iii) Interaction of changes to the type
design and changes to the master minimum equipment list (MMEL)
ED Decision 2019/018/R
In general, it has to be assumed that changes to the type certificate (TC) that affect the type design
can have an effect on the MMEL.
Due to its alleviating nature, the MMEL is developed to improve aircraft use, thereby providing a more
convenient and economical air transportation for the public.
Therefore, not introducing MMEL relief for new equipment, system or function has no effect on the
safety of the operation. The introduction of MMEL relief for new equipment can, therefore, be treated
as a stand-alone MMEL change, separately from the design change, and can be processed at a later
date than the date of entry into service of the aircraft including the design change.
Not modifying an MMEL item whose validity is altered by a type design modification may, however,
have an effect on the safety of the operation. The applicant for a change to the TC that changes the
type design should, therefore, identify whether this change needs to be supplemented by a change to
the MMEL. However, the update of an MMEL relief for an already addressed equipment, system or
function can be treated at a later date than the date of entry into service of the aircraft including the
design change, provided that the change to the MMEL is of an alleviating nature. When the change to
the MMEL is not of an alleviating nature, it has to be approved according to point 21.A.97(b)(2) and (c).
It may be assumed that a change to the type design requires a change to the MMEL if any of the
following conditions are fulfilled:
(a)
the change affects an existing MMEL item in a more restrictive manner: there is a change to
equipment, system or function linked to an MMEL item, or a change to the operational
limitations and procedures linked to an MMEL item;
(b)
the change invalidates the assumptions used to justify an existing MMEL item, and requires a
more restrictive MMEL item; and
(c)
the change invalidates any dispatch conditions of the MMEL.
Examples of the above three conditions, where no change to the MMEL is required:
(a)
introduction of new equipment, system or function in the type design;
(b)
the change has no adverse impact on the qualitative and quantitative assessment used to justify
an MMEL item; and
(c)
the dispatch conditions do not need to be more restrictive if the current intent of (o) or (m)
procedures (as referred in CS MMEL.125) is not impacted.
The following diagram summarises the interaction between type design changes and changes to
MMEL (see Figure 1).
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Figure 1
GM 21.A.93(c) Period of validity for the application
ED Decision 2019/018/R
For guidance on the determination of the period of validity for the application, refer to GM 21.A.15(e)
and (f).
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21.A.95 Requirements for approval of a minor change
Regulation (EU) 2019/897
(a)
(b)
Minor changes to a type-certificate shall be classified and approved by:
1.
the Agency; or
2.
an approved design organisation within the scope of its privileges provided for in points
(1) and (2) of point 21.A.263(c), as recorded in the terms of approval.
A minor change to a type-certificate shall only be approved:
1.
when it has been demonstrated that the change and areas affected by the change comply
with the type-certification basis and the environmental protection requirements
incorporated by reference in the type-certificate;
2.
in the case of a change affecting the operational suitability data, when it has been
demonstrated that the necessary changes to the operational suitability data comply with
the operational suitability data certification basis incorporated by reference in the typecertificate;
3.
when compliance with the type-certification basis that applies in accordance with point
(1) has been declared and the justifications of compliance have been recorded in the
compliance documents; and
4.
when no feature or characteristic has been identified that may make the product unsafe
for the uses for which certification is requested.
(c)
By derogation from point (1) in point (b), certification specifications which became applicable
after those incorporated by reference in the type-certificate can be used for approval of a minor
change, provided they do not affect the demonstration of compliance.
(d)
By derogation from point (a), at the applicant's request included in the declaration referred to
in point 21.A.20(d), a minor change to an aircraft type-certificate may be approved before
compliance with the operational suitability data certification basis has been demonstrated,
provided that the applicant demonstrates such compliance before the date at which those data
are actually used.
(e)
The applicant shall submit to the Agency the substantiation data for the change and a statement
that compliance has been demonstrated in accordance with point (b).
(f)
An approval of a minor change to a type-certificate shall be limited to the specific
configuration(s) in the type-certificate to which the change relates.
AMC 21.A.95 Requirements for the approval of a minor change
ED Decision 2019/018/R
(a)
Applicability of point 21.A.95
Point 21.A.95 has to be complied with by applicants for the approval of a minor change to a
type certificate (TC), and by design organisation approval (DOA) holders that approve minor
changes under their own privileges.
Point 21.A.95(e), however, only applies to projects for which an application is submitted to
EASA. For DOA holders that approve minor changes under their privileges, the substantiating
data and the statement of compliance required by point 21.A.95(e) should be produced but do
not need to be submitted to EASA. They should be, however, kept on record and submitted to
EASA on request during its DOA continued surveillance process.
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REQUIREMENTS
The approval process
The approval process comprises the following steps:
Note: Steps 1, 2 and 5 should be followed only by applicants for minor changes approved by
EASA. DOA holders that approve minor changes under their privileges should refer to
AMC No 1 to 21.A.263(c)(2) or AMC No 2 to 21.A.263(c)(2), as applicable to their approval
process.
(1)
Application
When the minor change is approved by EASA, an application should be submitted to EASA
as described in point 21.A.93(a) and (b) and in AMC 21.A.93(a).
(2)
Certification programme
The certification programme should consist of the information defined in points
21.A.93(b)(1) and 21.A.93(b)(2). Please refer to AMC 21.A.93(b) for further information.
(c)
(3)
Certification basis
(4)
Demonstration of compliance
(5)
Statement of compliance
Certification basis
The certification basis for a minor change consists of a subset of the elements of the product’s
certification basis ‘incorporated by reference in the type certificate’ (see also the additional
guidance below on the meaning of certification specifications that became applicable after
those ‘incorporated by reference in the type certificate’), which have been identified in
accordance with point 21.A.93(b)(2) due to a reinvestigation of compliance being necessary
because compliance was affected by the minor change (see also additional guidance below on
the meaning of ‘specific configurations’).
The certification basis ‘incorporated by reference in the type certificate’ is the certification basis
for the product as recorded in the type certificate data sheet (TCDS) for the product type/model
in the configuration(s) identified in accordance with point 21.A.93(b)(1)(i).
The certification basis contains the applicable airworthiness and (for aircraft only) operational
suitability data certification specifications (CS-OSD), environmental protection requirements
specified by reference to their amendment level, as complemented by special conditions,
equivalent safety findings, deviations, an ‘elect to comply’, etc., as applicable. See also the
additional guidance below on the meaning of ‘Minor changes affecting OSD constituents’.
By derogation from the above, CSs that became applicable after those incorporated by
reference in the TC may be used for the approval of a minor change (see the guidance below on
certification specifications that became applicable after those ‘incorporated by reference in the
type certificate’).
If other changes are required for the embodiment of the minor change, the certification basis
corresponding to the product modified by these other changes should also be considered when
determining the certification basis for the minor change.
(d)
Demonstration of compliance required by point 21.A.95(b)(1) and (2)
The applicant needs to demonstrate compliance with the certification basis established for the
minor change for all areas that are either physically changed or functionally affected by the
minor change.
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(1)
Means of compliance: the applicant should define and record the means (calculation, test
or analysis, etc.) by which compliance is demonstrated. Appendix A to AMC 21.A.15(b)
may be used to describe how compliance is demonstrated.
(2)
Compliance documents: the compliance demonstration should be recorded in
compliance documents. For minor changes, one comprehensive compliance document
may be sufficient, provided that it contains evidence of all aspects of the compliance
demonstration. AMC 21.A.20(c) can also be used, where applicable.
See also the additional guidance in item (e).
(3)
Aircraft manuals: where applicable, supplements to manuals (e.g. aircraft flight manual
(AFM), aircraft maintenance manual (AMM), etc.) may be issued.
See also additional guidance below on embodiment/installation instructions (item (f)).
(e)
Definition of the change to the type certificate
The change to the type certificate should be defined in accordance with GM 21.A.90A.
(f)
Embodiment/installation instructions
The instructions for the embodiment/installation of the change (e.g. service bulletin,
modification bulletin, production work order, etc.) should be defined. This may include the
installation procedure, the required material, etc.
(g)
Minor changes affecting OSD constituents (i.e. master minimum equipment list (MMEL))
Some minor changes to the type design may only have an effect on the MMEL (see GM No 1 to
21.A.93(b)(1)(iii)). In such cases, GM No 2 to 21.A.93(b)(1)(iii) is also applicable. This also means
that a dedicated assessment of the effects of the minor type design change on the other OSD
constituents is not needed.
(h)
Meaning of ‘specific configurations’ in point 21.A.95(f)
These ‘specific configurations’ are defined as the combination of the product type/model (on
which the minor change will be installed) with (if applicable) the list of those already approved
changes (minor, major, supplemental type certificate (STC)) that are required for the installation
of the minor change.
(i)
Certification specifications that became applicable after those incorporated by reference in the
type certificate
(1)
Minor changes are those changes that do not affect the airworthiness of the product and
thus are, by definition, non-significant as per point 21.A.101. This means that the
certification basis for the minor change may consist of the items of the certification basis
incorporated by reference in the TCDS of the product type/model, and normally it should
not be necessary for a minor change to use certification specifications that became
applicable after those that are incorporated by reference in the type certificate.
(2)
On the other hand, the applicant may elect to use later amendments of the affected
certification specifications for the compliance demonstration. This does not affect the
classification of the change; however, the applicant should also comply with any other
certification specifications that EASA considers to be directly related.
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If other changes are required for the installation of the minor change (as explained in
‘specific configurations’), the certification basis for the minor change should also take into
account the corresponding certification basis.
Meaning of ‘no feature or characteristics’ in point 21.A.95(b)(4)
See GM 21.A.20(d).
GM 21.A.95(b) Requirements for the approval of a minor change
ED Decision 2019/018/R
The level of detail of the documents that are referred to in 21.A.93(b) should be the same regardless
of whether the change is approved by EASA or under a design organisation approval (DOA) privilege,
to allow the change to be assessed in the frame of the DOA surveillance.
GM 21.A.21(b), 21.A.95(c), 21.A.97(c), 21.A.115(c), 21.B.103(b),
21.B.107(b) and 21.B.111(b) Approval of operational suitability data
(OSD)
ED Decision 2019/018/R
It is acknowledged that it may not always be possible to have the OSD available on the date of the
issue of the (restricted) type certificate ((R)TC), change approval or supplemental type certificate
(STC). The derogation provided by 21.A.21(b), 21.A.95(c), 21.A.97(c), 21.A.115(c), 21.B.103(b),
21.B.107(b) and 21.B.111(b) is intended for that case. The (R)TC, change approval or STC can be issued
before compliance with the OSD certification basis has been demonstrated.
However, the OSD needs to be approved before the data is used by a training organisation for the
purpose of obtaining a European Union (EU) licence, rating or attestation, or by an EU operator. This
is normally done before the entry into service of the first aircraft by an EU operator but it could also
be done later for some of the OSD constituents, such as the definition of the scope of validation source
data to support the objective qualification of a simulator, which should only be available when a
simulator has to be qualified.
The derogation provided in points 21.A.97(c), 21.A.115(c), 21.B.103(b), 21.B.107(b), and 21.B.111(b)
is applicable to all major changes to a TC, so it is also applicable to minor design changes when
triggering a major master minimum equipment list (MMEL) change, as well as to changes in which at
least one of the OSD constituent changes is major.
21.A.97 Requirements for approval of a major change
Regulation (EU) 2019/897
(a)
(b)
Major changes to a type-certificate shall be classified and approved by:
1.
the Agency; or
2.
an approved design organisation within the scope of its privileges provided for in points
(1) and (8) of point 21.A.263(c), as recorded in the terms of approval.
A major change to a type-certificate shall only be approved:
1.
when it has been demonstrated that the change and areas affected by the change comply
with the type-certification basis and environmental protection requirements, as
established by the Agency in accordance with point 21.A.101;
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2.
in the case of a change affecting the operational suitability data, when it has been
demonstrated that the necessary changes to the operational suitability data meet the
operational suitability data certification basis, as established by the Agency in accordance
with point 21.A.101; and
3.
when compliance with points (1) and (2) has been demonstrated in accordance with point
21.A.20, as applicable to the change.
(c)
By derogation from points (2) and (3) of point (b), at the applicant's request included in the
declaration referred to in point 21.A.20(d), a major change to an aircraft type-certificate may
be approved before compliance with the operational suitability data certification basis has been
demonstrated, provided that the applicant demonstrates such compliance before the date at
which those data are actually used.
(d)
An approval of a major change to a type-certificate shall be limited to the specific
configuration(s) in the type-certificate to which the change relates.
AMC 21.A.97 Requirements for the approval of a major change
ED Decision 2019/018/R
1.
For major changes approved by EASA, the applicant should use all the AMC 21.A.20(c), as well
as the GM 21.A.20.
2.
For the application of point 21.A.97(c), see GM 21.A.21(b), 21.A.95(c), 21.A.97(c), 21.A.115(c),
21.B.103(b), 21.B.107(b) and 21.B.111(b).
3.
In accordance with point 21.A.97(c), the compliance demonstration process always takes into
account the specific configuration(s) in the type certificate (TC) to which the major change
under approval is applied. These configurations may be defined by type models/variants or by
design changes to the type design. The demonstration of compliance covers these applicable
specific configurations. Consequently, the approval of the major change excludes any other
configurations, in particular those that already exist but are not considered in the compliance
demonstration process, as well as those that may be certified in future.
4.
For major changes approved by the design organisation approval (DOA) holder on the basis of
their privilege as per point 21.A.263(c)(8), the process described under AMC No 2 to
21.A.263(c)(5), (8) and (9) applies.
GM 21.A.97(b) Requirements for the approval of a major change
ED Decision 2019/018/R
The level of detail of the documents that are referred to in 21.A.93(b) should be the same regardless
of whether the change is approved by EASA or under a design organisation approval (DOA) privilege,
to allow the change to be assessed in the frame of the DOA surveillance.
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GM 21.A.21(b), 21.A.95(c), 21.A.97(c), 21.A.115(c), 21.B.103(b),
21.B.107(b) and 21.B.111(b) Approval of operational suitability data
(OSD)
ED Decision 2019/018/R
It is acknowledged that it may not always be possible to have the OSD available on the date of the
issue of the (restricted) type certificate ((R)TC), change approval or supplemental type certificate
(STC). The derogation provided by 21.A.21(b), 21.A.95(c), 21.A.97(c), 21.A.115(c), 21.B.103(b),
21.B.107(b) and 21.B.111(b) is intended for that case. The (R)TC, change approval or STC can be issued
before compliance with the OSD certification basis has been demonstrated.
However, the OSD needs to be approved before the data is used by a training organisation for the
purpose of obtaining a European Union (EU) licence, rating or attestation, or by an EU operator. This
is normally done before the entry into service of the first aircraft by an EU operator but it could also
be done later for some of the OSD constituents, such as the definition of the scope of validation source
data to support the objective qualification of a simulator, which should only be available when a
simulator has to be qualified.
The derogation provided in points 21.A.97(c), 21.A.115(c), 21.B.103(b), 21.B.107(b), and 21.B.111(b)
is applicable to all major changes to a TC, so it is also applicable to minor design changes when
triggering a major master minimum equipment list (MMEL) change, as well as to changes in which at
least one of the OSD constituent changes is major.
21.A.101 Type-certification basis, operational suitability data
certification basis and environmental protection requirements for a
major change to a type-certificate
Regulation (EU) 2022/201
(a)
A major change to a type-certificate and areas affected by the change shall comply with either
the certification specifications applicable to the changed product on the date of the application
for the change or certification specifications which became applicable after that date in
accordance with point (f) below. The validity of the application shall be determined in
accordance with point 21.A.93(c). In addition, the changed product shall comply with the
environmental protection requirements designated by the Agency in accordance with point
21.B.85.
(b)
Except as provided in point (h), by derogation from point (a), an earlier amendment to a
certification specification referred to in point (a) and to any other certification specification
which is directly related may be used in any of the following situations, unless the earlier
amendment became applicable before the date at which the corresponding certification
specifications incorporated by reference in the type-certificate became applicable:
1.
a change that the Agency finds not to be significant. In determining whether a specific
change is significant, the Agency shall consider the change in the context of all previous
relevant design changes and all related revisions to the applicable certification
specifications incorporated by reference in the type-certificate for the product. Changes
meeting one of the following criteria shall automatically be considered significant:
(i)
the general configuration or the principles of construction are not retained;
(ii)
the assumptions used for certification of the product to be changed do not remain
valid;
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2.
each area, system, part or appliance that the Agency finds not affected by the change;
3.
each area, system, part or appliance that is affected by the change for which the Agency
finds that compliance with the certification specifications referred to in point (a) does not
contribute materially to the level of safety of the changed product or is impractical.
(c)
By derogation from point (a), in the case of a change to an aircraft other than a rotorcraft of
2 722 kg (6 000 lb) or less maximum weight, or to a non-turbine rotorcraft of 1 361 kg (3 000 lb)
or less maximum weight, the change and areas affected by the change shall comply with the
type-certification basis incorporated by reference in the type-certificate. However, if the Agency
finds that the change is significant in an area, the Agency may require that the change and areas
affected by the change comply with an amendment to a certification specification of the typecertification basis incorporated by reference in the type-certificate and with any other
certification specification which is directly related, unless the Agency also finds that compliance
with that amendment does not contribute materially to the level of safety of the changed
product or is impractical.
(d)
If the Agency finds that the certification specifications applicable on the date of the application
for the change do not provide adequate standards with respect to the proposed change, the
change and areas affected by the change shall also comply with any special conditions, and
amendments to those special conditions, prescribed by the Agency in accordance with point
21.B.75, to provide a level of safety equivalent to that established by the certification
specifications applicable on the date of the application for the change.
(e)
By derogation from points (a), (b) and (c), the change and areas affected by the change may
comply with an alternative to a certification specification designated by the Agency if proposed
by the applicant, provided that the Agency finds that the alternative provides a level of safety
which is:
1.
2.
in the case of a type-certificate:
(i)
equivalent to that of the certification specifications designated by the Agency
under (a), (b) or (c) above; or
(ii)
compliant with the essential requirements of Annex II to Regulation (EU)
2018/1139;
in the case of a restricted type-certificate, adequate with regard to the intended use.
(f)
If an applicant chooses to comply with a certification specification set out in an amendment
that becomes applicable after submitting the application for a change to a type-certificate, the
change and areas affected by the change shall also comply with any other certification
specification which is directly related.
(g)
When the application for a change to a type-certificate for an aircraft includes, or is
supplemented after the initial application to include, changes to the operational suitability data,
the operational suitability data certification basis shall be established in accordance with points
(a)-(f).
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For large aeroplanes subject to point 26.300 of Annex I to Commission Regulation
(EU) 2015/6401, the applicant shall comply with certification specifications that provide at least
an equivalent level of safety to points 26.300 and 26.330 of Annex I to Regulation
(EU) 2015/640, except for applicants for supplemental type-certificates who are not required
to take into account point 26.303.
GM 21.A.101 Establishing the certification basis of changed
aeronautical products
ED Decision 2019/018/R
Foreword
This guidance material (GM) provides guidance for the application of the ‘Changed Product Rule
(CPR)’, pursuant to point 21.A.101, Designation of the applicable certification specifications and
environmental protection requirements, and 21.A.19, Changes requiring a new type certificate, for
changes made to type-certified aeronautical products.
1.
INTRODUCTION
1.1.
Purpose.
This GM provides guidance for establishing the certification basis for changed
aeronautical products pursuant to point 21.A.101, Designation of the applicable
certification specifications and environmental protection requirements. The guidance is
also intended to help applicants and approved design organisations to determine
whether it will be necessary to apply for a new type certificate (TC) under point 21.A.19,
Changes requiring a new type certificate. The guidance describes the process for
establishing the certification basis for a change to a TC, for a supplemental type certificate
(STC), or for a change to an STC, detailing the requirements (evaluations, classifications,
and decisions) throughout the process.
1.2.
Applicability.
1.2.1 This GM is for an applicant that applies for changes to TCs under Subpart D, for
STCs, or changes to STCs under Subpart E, or for changes to European Technical
Standard Order Authorisations (ETSOAs) for auxiliary power units (APUs) under
Subpart O. This GM is also for approved design organisations that classify changes
and approve minor changes under their 21.A.263(c)(1) and (2) privileges.
1.2.2 This GM applies to major changes under point 21.A.101 for aeronautical products
certified under Part 21, and the certification specifications (CSs) applicable to the
changed product (CS-23, CS-25, CS-27, CS-29, CS-MMEL, CS-FCD, CS-CCD, etc.).
References to ‘change’ include the change and areas affected by the change
pursuant to point 21.A.101.
1.2.3 Minor changes are within the scope of 21.A.101 and this GM but are automatically
considered to not be significant under the ‘does not contribute materially to the
level of safety’ provision of point 21.A.101(b).
1.2.4 This GM also applies to changes to restricted type certificates.
1
Commission Regulation (EU) 2015/640 of 23 April 2015 on additional airworthiness specifications for a given type of operations and
amending Regulation (EU) No 965/2012 (OJ L 106, 24.4.2015, p. 18).
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1.2.5 The term ‘aeronautical product’, or ‘product’, means a type-certified aircraft,
aircraft engine, or propeller and, for the purpose of this GM, an ETSOA’d APU.
1.2.6 This GM primarily provides guidance for the designation of applicable
airworthiness certification specifications and other airworthiness standards for the
type-certification basis for the changed product. However, portions of this GM, as
specified in GM1 21.A.101(g), can be applied by analogy to establish the
operational suitability data (OSD) certification basis for the changed product. This
GM is not intended to be used to determine the applicable environmental
protection requirements (aircraft noise, fuel venting, and engine exhaust emissions
and aeroplane CO2 emissions requirements) for changed products, as they are
designated through point 21.B.85.
1.2.7 This GM is not mandatory and is not an EU regulation. This GM describes an
acceptable means, but not the only means, to comply with point 21.A.101.
However, an applicant who uses the means described in this GM must follow it
entirely.
1.3.
Reserved.
1.4.
GM Content
This GM contains 5 chapters and 10 appendices.
1.4.1 This chapter clarifies the purpose of this GM, describes its content, specifies the
intended audience affected by this GM, clarifies which changes are within the
scope of this GM, and references the definitions and terminology used in this GM.
1.4.2 Chapter 2 provides a general overview of points 21.A.101 and 21.A.19, clarifies the
main principles and safety objectives, and directs an applicant to the applicable
guidance contained in subsequent chapters of this GM.
1.4.3 Chapter 3 contains guidance for the implementation of point 21.A.101(b) to
establish the certification basis for changed aeronautical products. It describes in
detail the various steps for developing the certification basis, which is a process
that applies to all changes to aeronautical products. Chapter 3 also addresses the
point 21.A.19 considerations for identifying the conditions under which an
applicant for a change is required to submit an application for a new TC, and it
provides guidance regarding the stage of the process at which this assessment is
performed.
1.4.4 Chapter 4 provides guidance about products excepted from the requirement of
point 21.A.101(a).
1.4.5 Chapter 5 contains considerations for:
— design-related operating requirements,
— defining a baseline product,
— predecessor standards,
— using special conditions under point 21.A.101(d),
— documenting revisions to the TC basis,
— incorporating STCs into the type design,
— removing changes,
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— determining a certification basis after removing an approved change, and
— sequential changes.
1.4.6 Appendix A contains examples of typical type design changes for small aeroplanes,
large aeroplanes, rotorcraft, engines, and propellers. The European Union Aviation
Safety Agency (EASA) has categorised these examples into individual tables
according to the classifications of design change: ‘substantial’, ‘significant’, and
‘not significant’.
1.4.7 Appendix B contains application charts for applying the point 21.A.101 process,
including the excepted process.
1.4.8 Appendix C contains one method for determining the changed and affected areas
of a product.
1.4.9 Appendix D contains additional guidance on affected areas that is not discussed in
other parts of this GM.
1.4.10 Appendix E provides detailed guidance with examples for evaluating the
‘impracticality’ exception in the rule.
1.4.11 Appendix F provides guidance with examples on the use of relevant service
experience in the certification process as one way to demonstrate that a later
amendment may not contribute materially to the level of safety, allowing the use
of earlier certification specifications.
1.4.12 Appendix G provides an example CPR decision record.
1.4.13 Appendix H provides examples of documenting a proposed certification basis list.
1.4.14 Appendix I lists the Part 21 points related to this GM.
1.4.15 Appendix J lists the definitions and terminology applicable for the application of
the rule.
1.5.
Terms Used in this GM.
1.5.1 The following terms are used interchangeably and have the same meaning:
‘specifications’, ‘standards’, ‘certification specifications’ and ‘certification
standards’. They refer to the elements of the type-certification basis for
airworthiness or OSD certification basis.
1.5.2 The term ‘certification basis’ refers to the type-certification basis for airworthiness
provided for in point 21.B.80 and the operational suitability data (OSD) certification
basis provided for in point 21.B.82.
For more terms, consult Appendix J.
2.
OVERVIEW OF POINTS 21.A.19 AND 21.A.101
2.1.
Point 21.A.19.
2.1.1 Point 21.A.19 requires an applicant to apply for a new TC for a changed product if
EASA finds that the change to the design, power, thrust, or weight is so extensive
that a substantially complete investigation of compliance with the applicable typecertification basis is required.
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2.1.2 Changes that require a substantial re-evaluation of the compliance findings of the
product are referred to as ‘substantial changes’. For guidance, see paragraph 3.3
in Chapter 3 of this GM. Appendix A of this GM provides examples of changes that
will require a new TC.
2.1.3 If EASA determines through point 21.A.19 that a proposed change does not require
a new TC, see point 21.A.101 for the applicable requirements to develop the
certification basis for the proposed change. For guidance, see Chapter 3 and the
examples in Appendix A of this GM.
2.2.
Point 21.A.101.
2.2.1 Point 21.A.101(a).
Point 21.A.101(a) requires a change to a TC, and the areas affected by the change
to comply with the certification specifications that are applicable to the changed
product and that are in effect on the date of application for the change (i.e. the
latest certification standards in effect at the time of application), unless the change
meets the criteria for the exceptions identified in point 21.A.101(b) or (c), or unless
an applicant chooses to comply with the certification specifications of later
effective amendments* in accordance with point 21.A.101(f). The intent of point
21.A.101 is to enhance safety by incorporating the latest requirements into the
certification basis for the changed product to the greatest extent practicable.
*NOTE: Certification specifications that were amended after the date of
application.
2.2.2 Point 21.A.101(b).
Point 21.A.101(b) pertains to when an applicant may show that a changed product
complies with an earlier amendment of a certification specification, provided that
the earlier amendment is considered to be adequate and meets the criteria in point
21.A.101(b)(1), (2), or (3). When changes involve features or characteristics that
are novel and unusual in comparison with the airworthiness standard at the
proposed amendment, more recent airworthiness standards and/or special
conditions will be applied for these features.
An applicant is considered to comply with the earlier amendment of the
certification specifications consistent with point 21.A.101(b), when:
(a)
a change is not significant (see point 21.A.101(b)(1));
(b)
an area, system, part or appliance is not affected by the change (see point
21.A.101(b)(2));
(c)
compliance with a later amendment for a significant change does not
contribute materially to the level of safety (see point 21.A.101(b)(3)); or
(d)
compliance with the latest amendment would be impractical (see point
21.A.101(b)(3)).
Earlier amendments may not precede the amendment level of the certification
basis of the identified baseline product.
Points 21.A.101(b)(1)(i) and (ii) pertain to changes that meet the automatic criteria
where the change is significant.
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2.2.3 Point 21.A.101(c).
Point 21.A.101(c) provides an exception from the requirements of point
21.A.101(a) for a change to certain aircraft with less than the specified maximum
weight. An applicant who applies for a change to an aircraft (other than rotorcraft)
of 2 722 kg (6 000 lb) or less maximum weight, or to a non-turbine-powered
rotorcraft of 1 361 kg (3 000 lb) or less maximum weight, can show that the
changed product complies with the standards incorporated by reference in the
type certificate. An applicant can also elect to comply or may be required to comply
with the later standards. See paragraph 4.1 of this GM for specific guidance on this
provision.
2.2.4 Point 21.A.101(d).
Point 21.A.101(d) provides for the use of special conditions, under 21.B.75, when
the proposed certification basis and any later certification specifications do not
provide adequate standards for the proposed change because of a novel or unusual
design feature.
2.2.5 Point 21.A.101(e).
Point 21.A.101(e) provides the legal basis under which an applicant may propose
to certify a change and the areas affected by the change against alternative
requirements to the certification specifications established by EASA.
2.2.6 Point 21.A.101(f).
Point 21.A.101(f) requires that if an applicant chooses (elects) to comply with a
certification specification or an amendment to the certification specifications that
is effective after the filing of the application for a change to a TC, the applicant shall
also comply with any other certification specifications that EASA finds are directly
related. The certification specifications which are directly related must be, for the
purpose of compliance demonstration, considered together at the same
amendment level to be consistent.
2.2.7 Point 21.A.101(g).
Point 21.A.101(g) pertains to the designation of the applicable OSD certification
basis when the application for a change to a type certificate for an aircraft includes,
or is supplemented after the initial application to include, changes to the OSD. It
implies that the same requirements of paragraphs (a) and (f) that are applicable to
the establishment of the airworthiness type-certification basis also apply to the
establishment of the OSD certification basis. For specific guidance, see
GM1 21.A.101(g).
3.
PROCESS FOR ESTABLISHING THE CERTIFICATION BASIS FOR CHANGED PRODUCTS
3.1.
Overview.
3.1.1 The applicant and EASA both have responsibilities under point 21.A.101(a) and (b).
As an applicant for the certification of a change, the applicant must demonstrate
that the change and areas affected by the change comply with the latest applicable
certification specifications unless the applicant proposes exception(s) under point
21.A.101(b). An applicant proposing exception(s) should make a preliminary
classification whether the change is ‘significant’ or ‘not significant’, and propose an
appropriate certification basis. EASA is responsible for determining whether the
applicant’s classification of the change, and proposal for the certification basis, are
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consistent with the applicable rules and their interpretation. The EASA
determination does not depend on whether the TC holder or applicant for an STC
is originating the change. The certification basis can vary depending on the
magnitude and scope of the change. The steps below present a streamlined
approach for making this determination.
3.1.2 The tables in appendix A of this GM are examples of classifications of typical type
design changes. See paragraph 3.6.3 of this chapter for instructions on how to use
those tables.
3.1.3 If a proposed change is not in the examples provided in appendix A, the applicant
may use the following steps in conjunction with the flow chart in Figure 3-1 of this
GM to develop the appropriate certification basis for the change. For clarification,
the change discussed in the flow chart also includes areas affected by the change.
See paragraph 3.9.1 of this GM for guidance about affected areas.
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Figure 3-1. Developing a Proposed Certification Basis for a Changed Product Pursuant to point 21.A.101
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Step 1. Identify the proposed changes to an aeronautical product.
— Identify the type design being changed (the baseline product).
— Identify the proposed change.
— Use high-level descriptors.
3.2.1 Identify the type design being changed (the baseline product).
Prior to describing the proposed change(s), it is important to clearly identify the
specific type design configuration being changed.
Note: For additional guidance on the baseline product, see paragraph 5.3 of this
GM.
3.2.2 Identify the proposed change.
3.2.2.1 The purpose of this process step is to identify and describe the change to
the aeronautical product. Changes to a product can include physical design
changes and functional changes (e.g. operating envelope or performance
changes). An applicant must identify all changes and areas affected by the
change, including those where they plan to use previously approved data.
EASA considers all of these changes and areas affected by the change to be
part of the entire proposed type design and they are considered as a whole
in the classification of whether the proposed change is substantial,
significant, or not significant. The change can be a single change or a
collection of changes. In addition to the proposed changes, an applicant
should consider the cumulative effect of previous relevant changes
incorporated since the last time the certification basis was upgraded. An
applicant for a change must consider all previous relevant changes and the
amendment level of the certification specifications in the certification basis
used for these changes.
3.2.2.2 When identifying the proposed changes, an applicant should consider
previous relevant changes that create a cumulative effect, as these may
influence the decisions regarding the classification of the change later in the
process. By ‘previous relevant changes,’ EASA means changes where effects
accumulate, such as successive thrust increases, incremental weight
increases, or sectional increases in fuselage length. An applicant must
account for any previous relevant changes to the area affected by the
proposed change that did not involve an upgrade of the certification basis in
the proposed change.
3.2.2.3 Example:
An applicant proposes a 5 per cent weight increase, but a previous 4 per cent
and another 3 per cent weight increase were incorporated into this aircraft
without upgrading the existing certification basis. In the current proposal for
a 5 per cent weight increase, the cumulative effects of the two previous
weight increases that did not involve an upgrade of the certification basis
will now be accounted for as an approximate 12 per cent increase in weight.
Note that the cumulative effects the applicant accounts for are only those
incremental increases since the last time the airworthiness certification
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specifications in the type-certification basis applicable to the area affected
by the proposed change were upgraded.
3.2.3 Use High-Level Descriptors.
To identify and describe the proposed changes to any aeronautical product, an
applicant should use a high-level description of the change that characterises the
intent of, or the reason for, the change. No complex technical details are necessary
at this stage. For example, a proposal to increase the maximum passenger-carrying
capacity may require an addition of a fuselage plug, and as such, a ‘fuselage plug’
becomes one possible high-level description of this change. Similarly, a thrust
increase, a new or complete interior, an avionics system upgrade, or a passengerto-cargo conversion are all high-level descriptions that characterise typical changes
to the aircraft, each driven by a specific goal, objective, or purpose.
3.2.4 Evolutionary changes that occur during the course of a certification program may
require re-evaluation of the certification basis, and those changes that have
influence at the product level may result in re-classification of the change.
3.3.
Step 2. Verify the proposed change is not substantial.
3.3.1 Point 21.A.19 requires an applicant to apply for a new TC for a changed product if
the change to design, power, thrust, or weight is so extensive that a substantially
complete investigation of compliance with the applicable regulations is required.
A new TC could be required for either a single extensive change to a previously
type-certified product or for a changed design derived through the cumulative
effect of a series of design changes from a previously type-certified product.
3.3.2 A ‘substantially complete investigation’ of compliance is required when most of
the existing substantiation is not applicable to the changed product. In other
words, an applicant may consider the change ‘substantial’ if it is so extensive
(making the product sufficiently different from its predecessor) that the design
models, methodologies, and approaches used to demonstrate a previous
compliance finding could not be used in a similarity argument. EASA considers a
change ‘substantial’ when these approaches, models, or methodologies of how
compliance was shown are not valid for the changed product.
3.3.3 If it is not initially clear that a new TC is required, appendix A of this GM provides
some examples of substantial changes to aid in this classification. A substantial
change requires an application for a new TC. See points 21.B.80, 21.B.82, 21.B.85
and 21.A.19. If the change is not substantial, proceed to step 3.
3.4.
Step 3. Will the applicant use the latest standards?
An applicant can use the latest certification specifications for their proposed change and
the area affected by the change. If they use the latest certification specifications, they
will have met the intent of point 21.A.101 and no further classification (significant or not
significant) and justification is needed. Even though an applicant elects to use the latest
certification specifications, the applicant will still be able to apply point 21.A.101 for
future similar changes, and use the exceptions under point 21.A.101(b). However, the
decision to comply with the latest certification specifications sets a new basis for all
future related changes to the same affected area for that amended TC.
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— If using the latest certification specifications, an applicant should proceed to Step 6
(in paragraph 3.9 of this GM).
— If not using the latest certification specifications, an applicant should proceed to Step
4 below.
3.5.
Step 4. Arrange changes into related and unrelated groups.
3.5.1 An applicant should now determine whether any of the changes identified in Step 1
are related to each other. Related changes are those that cannot exist without
another, are co-dependent, or a prerequisite of another. For example, a need to
carry more passengers could require the addition of a fuselage plug, which will
result in a weight increase, and may necessitate a thrust increase. Thus, the
fuselage plug, weight increase, and thrust increase are all related, high-level
changes needed to achieve the goal of carrying more passengers. A decision to
upgrade the flight deck to more modern avionics at the same time as these other
changes may be considered unrelated, as the avionics upgrade is not necessarily
needed to carry more passengers (it has a separate purpose, likely just
modernisation). The proposed avionics upgrade would then be considered an
unrelated (or a stand-alone) change. However, the simultaneous introduction of a
new cabin interior is considered related since occupant safety considerations are
impacted by a cabin length change. Even if a new cabin interior is not included in
the product-level change, the functional effect of the fuselage plug has
implications on occupant safety (e.g. the dynamic environment in an emergency
landing, emergency evacuation, etc.), and thus the cabin interior becomes an
affected area. Figure 3-2 below illustrates the grouping of related and unrelated
changes using the example of increasing the maximum number of passengers.
Note: An applicant who plans changes in sequence over time should refer to the
discussion on ‘sequential design changes’ in paragraph 5.13 of this GM.
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Figure 3-2. Related and Unrelated Changes for Example of Increasing the Maximum Number of Passengers
The Aeronautical Product
3.5.2 Once the change(s) is (are) organised into groupings of those that are related and
those that are unrelated (or stand-alone), an applicant should proceed to Step 5
below.
3.6.
Step 5. Is each group of related changes or each unrelated (stand-alone) change a
significant change?
3.6.1 The applicant is responsible for proposing the classification of groups of related
changes or unrelated changes as ‘significant’ or ‘not significant’. Significant
changes are product-level changes that could result from an accumulation of
changes, or occur through a single significant change that makes the changed
product distinct from its baseline product. The grouping of related and unrelated
changes is particularly relevant to EASA’s significant Yes/No decision (point
21.A.101(b)(1)) described in Step 1 of Figure 3-1. EASA evaluates each group of
related changes and each unrelated (stand-alone) change on its own merit for
significance. Thus, there may be as many evaluations for significance as there are
groupings of related and unrelated changes. Step 1 of Figure 3-1 explains the
accumulation of changes that an applicant must consider. Additionally, point
21.A.101(b)(1) defines a change as ‘significant’ when at least one of the three
automatic criteria applies:
3.6.1.1 Changes where the general configuration is not retained (significant change
to general configuration).
A change to the general configuration at the product level is one that
distinguishes the resulting product from other product models, for example,
performance or interchangeability of major components. Typically, for these
changes, an applicant will designate a new product model, although this is
not required. For examples, see appendix A of this GM.
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3.6.1.2 Changes where the principles of construction are not retained (significant
change to principles of construction).
A change at the product level to the materials and/or construction methods
that affects the overall product’s operating characteristics or inherent
strength and would require extensive reinvestigation to demonstrate
compliance is one where the principles of construction are not retained. For
examples, see appendix A of this GM.
3.6.1.3 Product-level changes that invalidate the assumptions used for certification
of the baseline product.
Examples include:
— change of an aircraft from an unpressurised to pressurised fuselage,
— change of operation of a fixed-wing aircraft from land-based to waterbased, and
— operating envelope expansions that are outside the approved design
parameters and capabilities.
For additional examples, see appendix A of this GM.
3.6.2 The above criteria are used to determine whether each change grouping and each
stand-alone change is significant. These three criteria are assessed at the product
level. In applying the automatic criteria and the examples in appendix A of this GM,
an applicant should focus on the change and how it impacts the existing product
(including its performance, operating envelope, etc.). A change cannot be classified
or reclassified as a significant change on the basis of the importance of a later
amendment.
3.6.3 Appendix A of this GM includes tables of typical changes (examples) for small
aeroplanes, transport aeroplanes, rotorcraft, engines, and propellers that meet the
criteria for a significant design change. The Appendix also includes tables of typical
design changes that EASA classifies as not significant. The tables can be used in one
of two ways:
3.6.3.1 To identify the classification of a proposed design change listed in the table,
or
3.6.3.2 In conjunction with the three automatic criteria, to help classify a proposed
design change not listed in the table by comparison to determinations made
for changes with similar type and magnitude.
3.6.4 In many cases, a significant change may involve more than one of these criteria and
will be obvious and distinct from other product improvements or production
changes. There could be cases where a change to a single area, system,
component, or appliance may not result in a product-level change. There could also
be other cases where the change to a single system or component might result in
a significant change due to its effect on the product overall. Examples may include
the addition of winglets or leading-edge slats, or a change to primary flight controls
of a fly-by-wire system.
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3.6.5 If an unrelated (stand-alone) change or a grouping of related changes is classified
as —
Significant (point 21.A.101(a)):
You must comply with the latest airworthiness standards for certification of the
change and areas affected by change, unless you justify use of one of the
exceptions provided in point 21.A.101(b)(2) or (3) to show compliance with earlier
amendment(s). The final certification basis may consist of a combination of the
requirements recorded in the certification basis ranging from the original aircraft
certification basis to the most current regulatory amendments
Not Significant (point 21.A.101(b)(1)):
You may comply with the existing certification basis unless the standards in the
proposed certification basis are deemed inadequate. In cases where the existing
certification basis is inadequate or no regulatory standards exist, later
requirements and/or special conditions will be required. See paragraph 3.11 of this
GM for a detailed discussion.
3.6.6 A new model designation to a changed product is not necessarily indicative that
the change is significant under point 21.A.101. Conversely, retaining the existing
model designation does not mean that the change is not significant. Significance is
determined by the magnitude of the change.
3.6.7 EASA determines the final classification of whether a change is significant or not
significant. To assist an applicant in its assessment, EASA has predetermined the
classification of several typical changes that an applicant can use for reference, and
these examples are listed in appendix A of this GM.
3.6.8 At this point, the determination of significant or not significant for each of the
groupings of related changes and each stand-alone change is completed. For
significant changes, an applicant that proposes to comply with an earlier
certification specification should use the procedure outlined in paragraph 3.7
below. For changes identified as not significant, see paragraph 3.8 below.
3.7.
Proposing an amendment level for a significant change.
3.7.1 Without prejudice to the exceptions provided for in point 21.A.101(b) or (c), if the
classification of a group of related changes or a stand-alone unrelated change is
significant, all areas, systems, components, parts, or appliances affected by the
change must comply with the certification specifications at the amendment level
in effect on the date of application for the change, unless the applicant elects to
comply with certification specifications that have become effective after that date
(see point 21.A.101(a)).
3.7.2 In certain cases, an applicant will be required by EASA to comply with certification
specifications that have become effective after the date of application (see point
21.A.101(a)):
3.7.2.1 If an applicant elects to comply with a specific certification specification or
a subset of certification specifications at an amendment which has become
effective after the date of application, the applicant must comply with any
other certification specification that EASA finds is directly related (see point
21.A.101(f)).
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3.7.2.2 In a case where the change has not been approved, or it is clear that it will
not be approved under the time limit established, the applicant will be
required to comply with an upgraded certification basis established
according to points 21.B.80, 21.B.82 and 21.B.85 from the certification
specifications that have become effective since the date of the initial
application.
3.7.3 Applicants can justify the use of one of the exceptions in point 21.A.101(b)(2) or (3)
to comply with an earlier amendment, but not with an amendment introduced
earlier than the existing certification basis. See paragraphs 3.9 and 3.10 of this GM.
Applicants who elect to comply with a specific certification specification or a subset
of certification specifications at an earlier amendment will be required to comply
with any other certification specification that EASA finds are directly related.
3.7.4 The final certification basis may combine the latest, earlier (intermediate), and
existing certification specifications, but cannot contain certification specifications
preceding the existing certification basis.
3.8.
Proposing an amendment level for a not significant change.
3.8.1 When EASA classifies the change as not significant, the point 21.A.101(b) rule
allows compliance with earlier amendments, but not prior to the existing
certification basis. Within this limit, the applicant may propose an amendment
level for each certification specification for the affected area. However, each
applicant should be aware that EASA will review their proposals for the certification
basis to ensure that the certification basis is adequate for the proposed change
under Step 8. (See paragraph 3.11 of this GM.)
3.8.2 Even for a not significant change, an applicant may elect to comply with
certification specifications which became applicable after the date of application.
Applicants may propose to comply with a specific certification specification or a
subset of certification specifications at a certain amendment of their choice. In
such a case, any other certification specifications of that amendment that are
directly related should be included in the certification basis for the change.
3.9.
Step 6. Prepare the proposed certification basis list.
As part of preparing the proposed certification basis list, an applicant must identify any
areas, systems, parts or appliances of the product that are affected by the change and
the corresponding certification specifications associated with these areas. For each
group, the applicant must assess the physical and/or functional effects of the change on
any areas, systems, parts or appliances of the product. The characteristics affected by the
change are not only physical changes, but also functional changes brought about by the
physical changes. Examples of physical aspects are structures, systems, parts and
appliances, including software in combination with the affected hardware. Examples of
functional characteristics are performance, handling qualities, aeroelastic characteristics,
and emergency egress. The intent is to encompass all aspects where there is a need for
re-evaluation, that is, where the substantiation presented for the product being changed
should be updated or rewritten. Appendix H of this GM contains two examples of how to
document a proposed certification basis list.
3.9.1 An area affected by the change is any area, system, component, part, or appliance
of the aeronautical product that is physically and/or functionally changed.
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3.9.2 Figure 3-33 of this GM illustrates concepts of physical and functional changes of an
affected area. Appendix C of this GM contains a method used to define the change
and areas affected by the change. This Appendix is meant to assist applicants when
they propose large, complex changes. For each change, it is important for the
applicant to properly assess the effects of such change on any areas, systems, parts
or appliances of the product because areas that have not been physically changed
may still be considered part of the affected area. If a new compliance finding is
required, regardless of its amendment level, it is an affected area.
Figure 3-3. Affected Areas versus Not Affected Areas
The Aeronautical Product
3.9.3 An area not affected by a change can remain at the existing certification basis,
provided that the applicant presents to EASA an acceptable justification that the
area is not affected.
3.9.4 For sample questions to assist in determining affected areas, see paragraph D.1 of
appendix D of this GM.
3.9.5 Consider the following aspects of a change: Physical aspects.
The physical aspects include direct changes to structures, systems, equipment,
components, and appliances, and may include software/airborne electronic
hardware changes and the resulting effects on systems functions.
3.9.5.1 Performance/functional characteristics.
The less obvious aspect of the word ‘areas’ covers general characteristics of
the type-certified product, such as performance features, handling qualities,
emergency egress, structural integrity (including load carrying), aeroelastic
characteristics, or crashworthiness. A product-level change may affect these
characteristics. For example, adding a fuselage plug could affect
performance and handling qualities, and thus the certification specifications
associated with these aspects would be considered to be part of the affected
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area. Another example is the addition of a fuel tank and a new fuel
conditioning unit. This change affects the fuel transfer and fuel quantity
indication system, resulting in the aircraft’s unchanged fuel tanks being
affected. Thus, the entire fuel system (changed and unchanged areas) may
become part of the affected area due to the change to functional
characteristics. Another example is changing turbine engine ratings and
operating limitations, affecting the engine rotors’ life limits.
3.9.6 All areas affected by the proposed change must comply with the latest certification
specifications, unless the applicant shows that demonstrating compliance with the
latest amendment of a certification specification would not contribute materially
to the level of safety or would be impractical. Step 7 below provides further
explanation.
3.9.7 The applicant should document the change and the area affected by the change
using high-level descriptors along with the applicable certification specifications
and their proposed associated amendment levels. The applicant proposes this
change to the certification basis that EASA will consider for documentation in the
type certificate data sheet (TCDS) or STC, if they are different from that recorded
for the baseline product in the TCDS.
3.10. Step 7. Do the latest standards contribute materially to the level of safety and are they
practical?
Pursuant to point 21.A.101(a), compliance with the latest certification specifications is
required. However, exceptions may be allowed pursuant to point 21.A.101(b)(3). The
applicant must provide justification to support the rationale for the application of earlier
amendments for areas affected by a significant change in order to document that
compliance with later standards in these areas would not contribute materially to the
level of safety or would be impractical. Such a justification should address all the aspects
of the area, system, part or appliance affected by the significant change. See paragraphs
3.10.1 and 3.10.1.4 of this GM.
3.10.1 Do the latest standards contribute materially to the level of safety?
Applicants could consider compliance with the latest standards to ‘not contribute
materially to the level of safety’ if the existing type design and/or relevant
experience demonstrates a level of safety comparable to that provided by the
latest standards. In cases where design features provide a level of safety greater
than the existing certification basis, applicants may use acceptable data, such as
service experience, to establish the effectiveness of those design features in
mitigating the specific hazards by a later amendment. Applicants must provide
sufficient justification to allow EASA to make this determination. An acceptable
means of compliance is described in appendix E of this GM. Justification is sufficient
when it provides a summary of the evaluation that supports the determination
using an agreed evaluation method, such as that in appendix E of this GM. This
exception could be applicable in the situations described in the paragraphs below.
Note: Compliance with later standards is not required where the amendment is of
an administrative nature and made only to correct inconsequential errors or
omissions, consolidate text, or to clarify an existing requirement.
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3.10.1.1 Improved design features.
Design features that exceed the existing certification basis standards, but do
not meet the latest certification specifications, can be used as a basis for
granting an exception under point 21.A.101(b)(3) since complying with the
latest amendment of the certification specifications would not contribute
materially to the level of safety of the product. If EASA accepts these design
features as justification for an exception, the applicant must incorporate
them in the amended type design configuration and record them, where
necessary, in the certification basis. The description of the design feature
would be provided in the TCDS or STC at a level that allows the design feature
to be maintained, but does not contain proprietary information. For
example1, an applicant proposes to install winglets on a Part 25 aeroplane,
and part of the design involves adding a small number of new wing fuel tank
fasteners. Assuming that the latest applicable amendment of § 25.981 is
Amendment 25-102, which requires structural lightning protection, the
applicant could propose an exception from these latest structural lightning
protection requirements because the design change uses new wing fuel tank
fasteners with cap seals installed. The cap seal is a design feature that
exceeds the requirement of § 25.981 at a previous amendment level, but
does not meet the latest Amendment 25-102. If the applicant can
successfully substantiate that compliance with Amendment 25-102 would
not materially increase the level of safety of the changed product, then this
design feature can be accepted as an exception to compliance with the latest
amendment.
3.10.1.2 Consistency of design.
This provision gives the opportunity to consider the consistency of design.
For example, when a small fuselage plug is added, additional seats and
overhead bins are likely to be installed, and the lower cargo hold extended.
These components may be identical to the existing components. The level
of safety may not materially increase by applying the latest certification
specifications in the area of the fuselage plug. Compliance of the new areas
with the existing certification basis may be acceptable.
3.10.1.3 Service experience.
3.10.1.3.1 Relevant service experience, such as experience based on fleet
performance or utilisation over time (relevant flight hours or cycles),
is one way of showing that the level of safety will not materially
increase by applying the latest amendment, so the use of earlier
certification specifications could be appropriate. Appendix F of this
GM provides additional guidance on the use of service experience,
along with examples.
3.10.1.3.2 When establishing the highest practicable level of safety for a
changed product, EASA has determined that it is appropriate to assess
the service history of a product, as well as the later airworthiness
standards. It makes little sense to mandate changes to well1
This example is taken from the FAA experience gained prior to EASA’s start, therefore the references to the FAA sections and
amendments are kept.
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understood designs, whose service experience has been acceptable,
merely to comply with new standards. The clear exception to this
premise is if the new standards were issued to address a deficiency in
the design in question, or if the service experience is not applicable to
the new standards.
3.10.1.3.3 There may be cases for rotorcraft and small aeroplanes where
relevant data may not be sufficient or not available at all because of
the low utilisation and the insufficient amount and type of data
available. In such cases, other service history information may provide
sufficient data to justify the use of earlier certification specifications,
such as: warranty, repair, and parts usage data; accident, incident, and
service difficulty reports; service bulletins; airworthiness directives; or
other pertinent and sufficient data collected by the manufacturers,
authorities, or other entities.
3.10.1.3.4 EASA will determine whether the proposed service experience
levels necessary to demonstrate the appropriate level of safety as
they relate to the proposed design change are acceptable.
3.10.1.4 Secondary changes.
3.10.1.4.1 The change proposed by the applicant can consist of physical
and/or functional changes to the product. See Figure 3-4 below. There
may be aspects of the existing type design of the product that the
applicant may not be proposing to change directly, but that are
affected by the overall change. For example, changing an airframe’s
structure, such as adding a cargo door in one location, may affect the
frame or floor loading in another area. Further, upgrading engines
with new performance capabilities could require additional
demonstration of compliance for minimum control speeds and
aeroplane performance certification specifications. For many years,
EASA has required applicants to consider these effects, and this
practice is unchanged under the procedures of point 21.A.101.
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Figure 3-4. Change-Affected Areas with Secondary Changes
The Aeronautical Product
3.10.1.4.2 For each change, it is important that the effects of the change on
other systems, components, equipment, or appliances of the product
are properly identified and assessed. The intent is to encompass all
aspects where there is a need for re-evaluation, that is, where the
substantiation presented for the product being changed should be
reviewed, updated, or rewritten.
3.10.1.4.3 In assessing the areas affected by the change, it may be helpful to
identify secondary changes. A secondary change is a change to
physical and/or functional aspects that is part of, but consequential
to, a significant physical change, whose only purpose is to restore, and
not add or increase, existing functionality or capacity. The term
‘consequential’ is intended to refer to:
— a change that would not have been made by itself; it achieves no
purpose on its own;
— a change that has no effect on the existing functionality or
capacity of areas, systems, structures, components, parts, or
appliances affected by the change; or
— a change that would not create the need for: (1) new limitations
or would affect existing limitations; (2) a new aircraft flight
manual (AFM) or instructions for continued airworthiness (ICA) or
a change to the AFM or ICA; or (3) special conditions, equivalent
safety findings, or deviations.
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3.10.1.4.4 A secondary change is not required to comply with the latest
certification specifications because it is considered to be ‘not
contributing materially to the level of safety’ and, therefore, eligible
for an exception under point 21.A.101. Determining whether a change
meets the description for a secondary change, and is thus eligible for
an exception, should be straightforward. Hence, the substantiation or
justification need only be minimal. If this determination is not
straightforward, then the proposed change is not a secondary change.
3.10.1.4.5 In some cases, a secondary area of change that restores
functionality may in fact contribute materially to the level of safety by
meeting a later amendment. If this is the case, it is not considered a
secondary change.
3.10.2 Are the latest specifications practical?
The intent of point 21.A.101 is to enhance safety by applying the latest certification
specifications to the greatest extent practicable. The concepts of contributing
materially and practicality are linked. If compliance with the latest certification
specifications does contribute materially to the level of safety, then the applicant
may assess the incremental costs to see whether they are commensurate with the
increase in safety. The additional resource requirements could include those
arising from changes required for compliance and the effort required to
demonstrate compliance, but excluding resource expenditures for prior product
changes. The cost of changing compliance documentation and/or drawings is not
an acceptable reason for an exception.
3.10.2.1 Applicants should support their position that compliance is impractical
with substantiating data and analyses. While evaluating that position and
the substantiating data regarding impracticality, EASA may consider other
factors (e.g. the costs and safety benefits for a comparable new design).
3.10.2.2 A review of large aeroplane projects showed that, in certain cases where
EASA allowed an earlier amendment of applicable certification
specifications, the applicants made changes that nearly complied with the
latest amendments. In these cases, the applicants successfully
demonstrated that full compliance would require a substantial increase in
the outlay or expenditure of resources with a very small increase in the level
of safety. These design features can be used as a basis for granting an
exception under point 21.A.101(b)(3) on the basis of ‘impracticality.’
3.10.2.3 Appendix E of this GM provides additional guidance and examples for
evaluating the impracticality of applying the latest certification
specifications to a changed product for which compliance with the latest
certification specifications would contribute materially to the level of safety
of the product.
3.10.2.3.1 The exception of impracticality is a qualitative and quantitative
cost–safety benefit assessment for which it is difficult to specify clear
criteria. Experience to date with applicants has shown that a
justification of impracticality is more feasible when both the applicant
and EASA agree during a discussion at an early stage that the effort (in
terms of cost, changes to manufacturing, etc.) required to comply
would not be commensurate with a small incremental safety gain. This
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would be clear even without the need to perform any detailed cost–
safety benefit analysis (although an applicant could always use cost
analysis to support an appropriate amendment level). However, there
should be enough detail in the applicant’s rationale to justify the
exception.
Note: An applicant should not base an exception due to impracticality
on the size of the applicant’s company or their financial resources. The
applicant must evaluate the costs to comply with a later amendment
against the safety benefit of complying with the later amendment.
3.10.2.3.2 For example, a complex redesign of an area of the baseline aircraft
may be required to comply with a new requirement, and that redesign
may affect the commonality of the changed product with respect to
the design and manufacturing processes of the existing family of
models. Relevant service experience of the existing fleet of the
baseline aircraft family would be required to show that there has not
been a history of problems associated with the hazard that the new
amendment in question was meant to address. In this way, the
incremental cost/impact to the applicant is onerous, and the
incremental safety benefit realised by complying with the later
amendment would be minimal. This would be justified by
demonstrated acceptable service experience in relation to the hazard
that the new rule addresses.
3.11. Step 8. Ensure the proposed certification basis is adequate.
EASA considers a proposed certification basis for any change (whether it is significant or
not significant) to be adequate when:
— the certification standards provide an appropriate level of safety for the intended
change, and
— the change and the areas affected by the change do not result in unsafe design
features or characteristics for the intended use.
3.11.1 For a change that contains new design features that are novel and unusual for
which there are no later applicable certification specifications at a later
amendment level, EASA will designate special conditions pursuant to point
21.B.75. EASA will impose later certification specifications that contain adequate
or appropriate safety standards for this feature, if they exist, in lieu of special
conditions. An example is adding a flight-critical system, such as an electronic air
data display on a CS-25 large aeroplane whose existing certification basis does not
cover protection against lightning and high-intensity radiated fields (HIRF). In this
case, EASA will require compliance with the certification specifications for lightning
and HIRF protection, even though EASA determined that the change is not
significant.
3.11.2 For new design features or characteristics that may pose a potential unsafe
condition for which there are no later applicable certification specifications, new
special conditions may be required to address points 21.B.107(a)(3) or
21.B.111(a)(3).
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3.11.3 In cases where inadequate or no standards exist for the change to the existing
certification basis, but adequate standards exist in a later amendment of the
applicable certification specifications, the later amendment will be made part of
the certification basis to ensure the adequacy of the certification basis.
3.11.4 EASA determines the final certification basis for a product change. This may consist
of a combination of those standards ranging from the existing certification basis of
the baseline product to the latest amendments and special conditions.
4.
Excepted Products under point 21.A.101(c)
4.1.
Excepted products.
For excepted products as defined in paragraph 4.1.1 below, the starting point for
regulatory analysis is the existing certification basis for the baseline product.
4.1.1 Point 21.A.101(c) provides an exception to the compliance with the latest
certification specifications required by point 21.A.101(a) for aircraft (other than
rotorcraft) of 2 722 kg (6 000 lb) or less maximum weight, or to a non-turbine
rotorcraft of 1 361 kg (3 000 lb) or less maximum weight. In these cases, the
applicant may elect to comply with the existing certification basis. However, the
applicant has the option of applying later, appropriate certification specifications.
4.1.2 If EASA finds that the change is significant in an area, EASA may require the
applicant to comply with a later certification specification and with any certification
specification that EASA finds is directly related. Starting with the existing
certification basis, EASA will progress through each later certification specification
to determine the amendment appropriate for the change. However, if an applicant
proposes, and EASA finds, that complying with the later amendment or
certification specification would not contribute materially to the level of safety of
the changed product or would be impractical, EASA may allow the applicant to
comply with an earlier amendment appropriate for the proposed change. The
amendment may not be earlier than the existing certification basis. For excepted
products, changes that meet one or more of the following criteria, in the area of
change, are automatically considered significant:
4.1.2.1 The general configuration or the principles of construction are not retained.
4.1.2.2 The assumptions used for certification of the area to be changed do not
remain valid.
4.1.2.3 The change contains new features (not foreseen in the existing certification
basis and for which appropriate later certification specifications exist). In this
case, EASA will designate the applicable certification specifications, starting
with the existing certification basis and progressing to the most appropriate
later amendment level for the change.
4.1.2.4 The change contains a novel or unusual design feature. In this case, EASA
will designate the applicable special conditions appropriate for the change,
pursuant to point 21.A.101(d).
4.1.3 The exception for products under point 21.A.101(c) applies to the aircraft only.
Changes to engines and propellers installed on these excepted aircraft are assessed
as separate type-certified products using point 21.A.101(a) and (b).
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Other Considerations
5.1.
Design-related requirements from other aviation domains.
Some implementing rules in other aviation domains (air operations, ATM/ANS)
(e.g. Commission Regulation (EU) No 965/2012 on air operations or Commission
Regulation (EU) 2015/640 on additional airworthiness specifications for a given type of
operations (Annex I (Part-26)) impose airworthiness standards that are not required for
the issue of a TC or STC (e.g. CS-26, CS-ACNS, etc.). If not already included in the
certification basis, any such applicable airworthiness standard may be added to the type
certification basis by mutual agreement between the applicant and EASA. The benefit of
adding these airworthiness standards to the type certification basis is to increase
awareness of these standards, imposed by other implementing rules, during design
certification and future modifications to the aircraft. The use of exceptions under point
21.A.101(b) is not intended to alleviate or preclude compliance with operating
regulations.
5.2.
Reserved.
5.3.
Baseline product.
A baseline product consists of one unique type design configuration, an aeronautical
product with a specific, defined, approved configuration and certification basis that the
applicant proposes to change. As mentioned in paragraph 3.2.1 of this GM, it is important
to clearly identify the type design configuration to be changed. EASA does not require an
applicant to assign a new model name for a changed product. Therefore, there are vastly
different changed products with the same aircraft model name, and there are changed
products with minimal differences that have different model names. Since the
assignment of a model name is based solely on an applicant’s business decision, the
identification of the baseline product, for the purposes of point 21.A.101, is, as defined
below.
The baseline product is an approved type design that exists at the date of application and
is representative of:
— a single certified build configuration, or
— multiple approvals over time (including STC(s) or service bulletins) and may be
representative of more than one product serial number.
Note: The type design configuration, for this purpose, could also be based on a proposed
future configuration that is expected to be approved at a later date but prior to the
proposed changed product.
5.4.
Predecessor standards.
The certification specifications in effect on the date of application for a change are those
in CS-22, CS-23, CS-25, CS-27, CS-29, CS-CCD, CS-FCD, CS-MMEL, etc., issued by EASA after
2003. However, the type-certification basis of some ‘grandfathered’ products, i.e. those
with a pre-EASA TC deemed to have been issued in accordance with Commission
Regulation (EU) No 748/2012 (see Article 3), may consist of other standards issued by or
recognised in the EU Member States. These standards may include Joint Aviation
Requirements (JARs) issued by the Joint Aviation Authorities (JAA) or national regulations
of an EU Member State (e.g. BCARs) or national regulations of a non-EU State of Design
with which an EU Member State had concluded a bilateral airworthiness agreement (e.g.
US FARs, CARs etc.). Consequently, when using one of the exception routes allowing
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electing to comply with earlier standards, the predecessor standards may be applicable.
Such predecessor standards are not recognised under point 21.A.101(a), but may be
allowed under point 21.A.101(b) or (c).When choosing the amendment level of a
standard, all related standards associated with that amendment level would have to be
included.
5.5.
Special conditions, point 21.A.101(d).
Point 21.A.101(d) allows for the application of special conditions, or for changes to
existing special conditions, to address the changed designs where neither the proposed
certification basis nor any later certification specifications provide adequate standards
for an area, system, part or appliance related to the change. The objective is to achieve a
level of safety consistent with that provided for other areas, systems, parts or appliances
affected by the change by the other certification specifications of the proposed
certification basis. The application of special conditions to a design change is not, in itself,
a reason to classify it as either a substantial change or a significant change. Whether the
change is significant, with earlier certification specifications allowed through exceptions,
or not significant, the level of safety intended by the special conditions must be consistent
with the agreed certification basis.
5.6.
Reserved.
5.7.
Reserved.
5.8.
Reserved.
5.9.
Documentation.
5.9.1 Documenting the proposal.
In order to efficiently determine and agree upon a certification basis with EASA,
the following information is useful to understand the applicant’s position:
— The current certification basis of the product being changed, including the
amendment level.
— The amendment level of all the applicable certification specifications at the
date of application.
— The proposed certification basis, including the amendment levels.
— Description of the affected area.
— Applicants who propose a certification basis that includes amendment levels
earlier than what was in effect at the date of application should include the
exception as outlined in point 21.A.101(b) and their justification if needed.
Please see appendix H for examples of optional tools an applicant can use to
document your proposed certification basis.
5.9.2 Documenting the significant/not significant decision.
5.9.2.1 EASA determines whether the changes are significant or not significant, and
this decision is documented in the Certification Review Item(s). However,
EASA provides an optional decision record for the applicant to make a
predetermination to facilitate EASA decision. This form is provided in
appendix G of this GM and follows the flow chart in Figure 3-1 of this GM. If
it is used, the applicant should submit it along with the certification plan.
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5.9.2.2 Changes that are determined to be significant changes under point
21.A.101, the exceptions, and the agreement of affected and unaffected
areas is typically documented through the Certification Review Item (CRI) A01 process. An example tool is provided in appendix H of this GM.
5.9.3 Documenting the certification basis.
5.9.3.1 EASA will amend the certification basis for all changes that result in a
revision to the product’s certification basis on the amended TCDS or STC. In
case of a significant change, EASA will document the resulting certification
basis in CRI A-01.
5.9.3.2 EASA will document the certification basis of each product model on all
STCs, including approved model list STCs.
5.10. Incorporation of STCs into the Type Design.
The incorporation of STCs into the product type design may generate an additional major
change when that change is needed to account for incompatibility between several STCs
that were initially not intended to be applied concurrently.
5.10.1 If the incorporation of the STC(s) does not generate an additional major change,
the incorporation is not evaluated pursuant to point 21.A.101. The existing
certification basis should be updated to include the later amendments of the STC(s)
being incorporated.
5.10.2 If the incorporation of the STC(s) generates an additional major change, the change
must be evaluated pursuant to point 21.A.101, and the existing certification basis
should be updated to include the amendments resulting from the application of
point 21.A.101.
5.11. Removing changes.
Approved changes may be removed after incorporation in an aeronautical product. These
changes will most commonly occur via an STC or a service bulletin kit.
5.11.1 The applicant should identify a product change that they intend at its inception to
be removable as such, and should develop instructions for its removal during the
initial certification. EASA will document the certification basis for both the installed
and removed configuration separately on the TCDS or STC.
5.11.2 If specific removal instructions and a certification basis corresponding to the
removed condition are not established at the time of the initial product change
certification, the removal of changes or portions of those changes may constitute
a significant change to type design. A separate STC or an amended TC may be
required to remove the modifications and the resulting certification basis
established for the changed product.
5.12. The certification basis is part of the change.
A new change may be installed in a product during its production or via a service bulletin
or STC. In terms of point 21.A.101, each of the approved changes has its own basis of
certification. If an applicant chooses to remove an approved installation (e.g. an interior
installation, avionics equipment) and install a new installation, a new certification basis
may be required for the new installation, depending on whether the change associated
with the new installation is considered significant compared to the baseline configuration
that the applicant chooses. If the new installation is a not significant change, the
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unmodified product’s certification basis may be used (not the previous installation
certification basis), provided the certification basis is adequate. For example, a large
aeroplane is certified in a ‘green’ configuration. The aeroplane certification basis does
not include CS 25.562. An interior is installed under an STC, and the applicant elects to
include CS 25.562 (dynamic seats) in the certification basis to meet specific operational
requirements. At a later date, the aeroplane is sold to another operator who does not
have the same operational requirements. A new interior is installed; there will be no
requirement for CS 25.562 to be included in the new certification basis.
5.13. Sequential changes — cumulative effects.
5.13.1 Any applicant who intends to accomplish a product change by incorporating
several changes in a sequential manner should identify this to EASA up front when
the first application is made. In addition, the cumulative effects arising from the
initial change, and from all of the follow-on changes, should be included as part of
the description of the change in the initial proposal. The classification of the
intended product change will not be evaluated solely on the basis of the first
application, but rather on the basis of all the required changes needed to
accomplish the intended product change. If EASA determines that the current
application is a part of a sequence of related changes, then EASA will re-evaluate
the determination of significance and the resulting certification basis as a group of
related changes.
5.13.2 Example: Cumulative effects — advancing the certification basis.
The type certificate for aeroplane model X lists three models, namely X-300, X-200,
and X-100. The X-300 is derived from the X-200, which is derived from the original
X-100 model. An applicant proposes a change to the X-300 aeroplane model.
During the review of the X-300 certification basis and the certification
specifications affected by the proposed change, it was identified that one
certification specification, CS 25.571 (damage tolerance requirements), remained
at the same amendment level as the X-100 original certification basis (exception
granted on the X-200). Since the amendment level for this particular certification
specification was not changed for the two subsequent aeroplane models (X-200
and X-300), the applicant must now examine the cumulative effects of these two
previous changes that are related to the proposed change and the damage
tolerance requirements to determine whether the amendment level needs to
advance.
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Appendix A to GM 21.A.101 Classification of design changes
ED Decision 2017/024/R
The following tables of ‘substantial’, ‘significant’, and ‘not significant’ changes are adopted by the FAA,
Agência Nacional de Aviação Civil (ANAC), the European Aviation Safety Agency (EASA), and Transport
Canada Civil Aviation (TCCA) through international collaboration. The classification may change due
to cumulative effects and/or combinations of individual changes.
A.1
Examples of Substantial, Significant, and Not Significant Changes for Small Aeroplanes
(CS-23).
A.1.1 Table A-1 contains examples of changes that are ‘substantial’ for small aeroplanes (CS-23).
Table A-1. Examples of Substantial Changes for Small Aeroplanes (CS-23)
Example
Description of Change
Notes
1.
Change to wing location (tandem, forward,
canard, high/low).
2.
Fixed wing to tilt wing.
3.
A change to the number of engines.
4.
Replacement of piston or turboprop engines with
turbojet or turbofan engines.
5.
Change to engine configuration (tractor/pusher).
6.
Increase from subsonic to supersonic flight
regime.
7.
Change from an all-metal to all-composite
aeroplane.
Proposed change to design is so extensive that a substantially
complete investigation of compliance with the applicable
certification basis is required.
8.
Certifying a CS-23 (or predecessor basis, such as
JAR-23) aeroplane into another certification
category, such as CS-25.
—
Proposed change to design is so extensive that a
substantially complete investigation of compliance with
the applicable certification basis is required.
Proposed change to design is so extensive that a
substantially complete investigation of compliance with
the applicable certification basis is required.
Proposed change to design is so extensive that a
substantially complete investigation of compliance with
the applicable certification basis is required.
Proposed change to design is so extensive that a
substantially complete investigation of compliance with
the applicable certification basis is required.
Proposed change to design is so extensive that a
substantially complete investigation of compliance with
the applicable certification basis is required.
A.1.2 Table A-2 contains examples of changes that are ‘significant’ for small aeroplanes (CS-23).
Example
1.
Table A-2. Examples of Significant Changes for Small Aeroplanes (CS-23)
Have the
Is there a
Is there a
assumptions
change to the
change to the
used for
Description of change
general
principles of
Notes
certification been
configuration?
construction?
invalidated?
21.A.101(b)(1)(i) 21.A.101(b)(1)(i)
21.A.101(b)(1)(ii)
Conventional tail to T-tail
Yes
No
Yes
Change to general
or V-tail, or vice versa.
configuration. Requires
extensive, structural flying
qualities and performance
reinvestigation. Requires new
aeroplane flight manual (AFM)
to address performance and
flight characteristics.
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Table A-2. Examples of Significant Changes for Small Aeroplanes (CS-23)
Is there a
change to the
general
configuration?
21.A.101(b)(1)(i)
Is there a
change to the
principles of
construction?
21.A.101(b)(1)(i)
Have the
assumptions
used for
certification been
invalidated?
21.A.101(b)(1)(ii)
Example
Description of change
2.
Changes to wing
configuration, such as
change to dihedral,
changes to wing span,
flap or aileron span,
addition of winglets, or
increase of more than 10
per cent of the original
wing sweep at the
quarter chord.
Changes to tail
configuration, such as the
addition of tail strakes or
angle of incidence of the
tail.
Yes
No
Yes
Yes
No
Yes
4.
Tricycle/tail wheel
undercarriage change or
addition of floats.
Yes
No
No
5.
Passenger-to-freighter
configuration conversion
that involves the
introduction of a cargo
door or an increase in
floor loading of more
than 20 per cent, or
provision for carriage of
passengers and freight
together.
Replace reciprocating
engines with the same
number of turbopropeller engines.
Yes
No
Yes
Change to general configuration
affecting load paths, aeroelastic
characteristics, aircraft-related
systems, etc. Change to design
assumptions.
Yes
No
No
7.
Addition of a turbocharger that changes the
power envelope,
operating range, or
limitations.
No
No
Yes
8.
The replacement of an
engine of higher rated
power or increase thrust
would be considered
significant if it would
invalidate the existing
substantiation, or would
change the primary
structure, aerodynamics,
or operating envelope
sufficiently to invalidate
the assumptions of
certification.
No
Yes
Yes
Requires extensive changes to
airframe structure, addition of
aircraft systems, and new AFM
to address performance and
flight characteristics.
Invalidates certification
assumptions due to changes to
operating envelope and
limitations. Requires new AFM
to address performance and
flight characteristics.
Invalidates certification
assumptions. Requires new AFM
to address performance and
flight characteristics. Likely
changes to primary structure.
Requires extensive construction
reinvestigation.
3.
6.
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Notes
Change to general
configuration. Likely requires
extensive changes to wing
structure. Requires new AFM to
address performance and flight
characteristics. Note: Small
changes to the wingtip or
winglet are not significant
changes. See table for ‘not
significant’ changes.
Change to general
configuration. Likely requires
extensive changes to tail
structure. Requires new AFM to
address performance and flight
characteristics.
Note: Small changes to tail are
not significant changes.
Change to general
configuration. Likely, at
aeroplane level, general
configuration and certification
assumptions remain valid.
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Table A-2. Examples of Significant Changes for Small Aeroplanes (CS-23)
Is there a
change to the
general
configuration?
21.A.101(b)(1)(i)
Is there a
change to the
principles of
construction?
21.A.101(b)(1)(i)
Have the
assumptions
used for
certification been
invalidated?
21.A.101(b)(1)(ii)
Example
Description of change
9.
A change to the type of
material, such as
composites in place of
metal, or one composite
fibre material system
with another (e.g. carbon
for fiberglass), for
primary structure would
normally be assessed as a
significant change.
10. A change involving
appreciable increase in
design speeds VD, VB, VMO,
VC, or VA.
Installation of a short
take-off and landing
(STOL) kit.
No
Yes
Yes
Change to principles of
construction and design from
conventional practices. Likely
change to design/certification
assumptions.
No
No
Yes
No
No
Yes
A change to the rated
power or thrust could be
a significant change if the
applicant is taking credit
for increased design
speeds per example 10 of
this table.
Fuel state, such as
compressed gaseous fuels
or fuel cells. This could
completely alter the fuel
storage and handling
systems and possibly
affect the aeroplane
structure.
A change to the flight
control concept for an
aircraft, e.g. to fly-by-wire
(FBW) and side-stick
control, or a change from
hydraulic to electronically
actuated flight controls,
would in isolation
normally be regarded as a
significant change.
Change to aeroplane’s
operating altitude, or
cabin operating pressure
greater than 10 per cent
in maximum cabin
pressure differential.
No
No
Yes
Certification assumptions
invalidated. Requires new AFM
to address performance and
flight characteristics.
Certification assumptions
invalidated. Requires new AFM
to address performance and
flight characteristics.
Certification assumptions
invalidated. Requires new AFM
to address performance and
flight characteristics.
No
No
Yes
Changes to design/certification
assumptions. Extensive
alteration of fuel storage and
handling systems.
No
No
Yes
Changes to design and
certification assumptions.
Requires extensive systems
architecture and integration
reinvestigation. Requires new
AFM.
No
No
Yes
Addition of a cabin
pressurisation system.
No
Yes
Yes
This typically invalidates
certification assumptions and
the fundamental approach used
in decompression, structural
strength, and fatigue. May
require extensive airframe
changes affecting load paths,
fatigue evaluation, aeroelastic
characteristics, etc. Invalidates
design assumptions.
Extensive airframe changes
affecting load paths, fatigue
evaluation, aeroelastic
characteristics, etc. Invalidates
design assumptions.
10.
11.
12.
13.
14.
15.
16.
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Annex I
SECTION A — TECHNICAL
REQUIREMENTS
Table A-2. Examples of Significant Changes for Small Aeroplanes (CS-23)
Is there a
change to the
general
configuration?
21.A.101(b)(1)(i)
Is there a
change to the
principles of
construction?
21.A.101(b)(1)(i)
Have the
assumptions
used for
certification been
invalidated?
21.A.101(b)(1)(ii)
Example
Description of change
17.
Changes to types and
number of emergency
exits or an increase in
maximum certified
passenger capacity.
A change to the required
number of flight crew
that necessitates a
complete flight deck
rearrangement, and/or
an increase in pilot
workload.
Expansion of an aircraft’s
operating envelope.*
Yes
No
Yes
No
No
Yes
No
No
An expansion of operating
capability is a significant change
(e.g. an increase in maximum
altitude limitation, approval for
flight in icing conditions, or an
increase in airspeed limitations).
Replacement of an
aviation gasoline engine
with an engine of
approximately the same
horsepower utilising, e.g.
diesel, hybrid, or
electrical power.
Comprehensive flight
deck upgrade, such as
conversion from entirely
federated, independent
electromechanical flight
instruments to highly
integrated and combined
electronic display systems
with extensive use of
software and/or complex
electronic hardware.
Introduction of autoland.
No
No
Yes*
*Some changes
may be deemed
‘not significant’
depending on the
extent of the
expansion.
Yes
No
No
Yes
Affects avionics and electrical
systems integration and
architecture concepts and
philosophies.
This drives a reassessment of
the human–machine interface,
flight-crew workload, and reevaluation of the original design
flight deck assumptions.
No
No
Yes
23.
Conversion from a safe
life design to a damagetolerance-based design.
No
No
Yes
24.
Extensive structural
airframe modification,
such as a large opening in
the fuselage.
Yes
No
No
Invalidates original design
assumptions.
Where the airframe-established
safe life limits change to
damage-tolerance principles,
then use of an inspection
program in lieu of the safe life
design limit invalidates the
original assumptions used
during certification.
Requires extensive changes to
fuselage structure, affects
aircraft systems, and requires a
new AFM to address
performance and flight
characteristics.
18.
19.
20.
21.
22.
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Notes
Emergency egress certification
specifications exceed those
previously substantiated.
Invalidates assumptions of
certification.
Extensive changes to avionics
and aircraft systems. Invalidates
certification assumptions.
Requires new AFM.
A major change to the
aeroplane. The general
configuration and principles of
construction will usually remain
valid; however, the assumptions
for certification are invalidated.
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Annex I
SECTION A — TECHNICAL
REQUIREMENTS
Table A-2. Examples of Significant Changes for Small Aeroplanes (CS-23)
Is there a
change to the
general
configuration?
21.A.101(b)(1)(i)
Is there a
change to the
principles of
construction?
21.A.101(b)(1)(i)
Have the
assumptions
used for
certification been
invalidated?
21.A.101(b)(1)(ii)
Example
Description of change
25.
Fuselage stretch or
shortening in the cabin or
pressure vessel.
Yes
No
Yes
26.
Conversion from normal
category to commuter
category aeroplane.
Yes
No
Yes
27.
Installation of a full
authority digital engine
control (FADEC) on an
aeroplane that did not
previously have a FADEC
installed.
No
No
Yes
Notes
Cabin interior changes are
related changes since occupant
safety considerations are
impacted by a cabin length
change. Even if a new cabin
interior is not included in the
product-level change, the
functional effect of the fuselage
plug has implications on
occupant safety (e.g. the
dynamic environment in an
emergency landing, emergency
evacuation, etc.), and thus the
cabin interior becomes an
affected area.
Requires compliance with all
commuter regulatory standards.
In many cases, this change could
be considered a substantial
change to the type design.
Therefore, a proposed change
of this nature would be subject
to EASA determination under
21.A.19.
—
A.1.3 Table A-3 contains examples of changes that are ‘not significant’ for small aeroplanes (CS-23).
Table A-3. Examples of Not Significant Changes for Small Aeroplanes (CS-23)
Example
Description of change
1.
Addition of wingtip
modifications
(not winglets).
No
No
Have the
assumptions
used for
certification been
invalidated?
21.A.101(b)(1)(ii)
No
2.
Installation of skis or
wheel skis.
No
No
No
3.
Forward looking
infrared (FLIR) or
surveillance camera
installation.
No
No
No
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Is there a
change to the
general
configuration?
21.A.101(b)(1)(i)
Is there a
change to the
principles of
construction?
21.A.101(b)(1)(i)
Notes
A major change to the
aeroplane. Likely, the original
general configuration, principles
of construction, and
certification assumptions
remain valid.
Although a major change to
the aeroplane, likely the
original general
configuration, principles of
construction, and
certification assumptions
remain valid.
Additional flight or structural
evaluation may be
necessary, but the change
does not alter basic
aeroplane certification.
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Annex I
SECTION A — TECHNICAL
REQUIREMENTS
Table A-3. Examples of Not Significant Changes for Small Aeroplanes (CS-23)
Is there a
change to the
general
configuration?
21.A.101(b)(1)(i)
Is there a
change to the
principles of
construction?
21.A.101(b)(1)(i)
Have the
assumptions
used for
certification been
invalidated?
21.A.101(b)(1)(ii)
Example
Description of change
4.
Litter, berth, and cargo
tie down device
installation.
Not an aeroplane-level
change.
Replacement of one
propeller type with
another (irrespective
of increase in number
of blades).
No
No
No
Not an aeroplane-level
change.
No
No
No
No
No
No
Addition of a turbocharger that does not
change the power
envelope, operating
range, or limitations
(e.g. a turbonormalised engine,
where the additional
power is used to
enhance high-altitude
or hot-day
performance).
Substitution of one
method of bonding for
another (e.g. change
to type of adhesive).
Substitution of one
type of metal for
another.
Any change to
construction or
fastening not involving
primary structure.
A new fabric type for
fabric-skinned aircraft.
Increase in flap speed
or undercarriage limit
speed.
No
No
No
Not an aeroplane-level
change.
Although a major change to
the aeroplane, likely the
original general
configuration, principles of
construction, and
certification assumptions
remain valid.
Not an aeroplane-level
change.
No
No
No
Not an aeroplane-level
change.
No
No
No
Not an aeroplane-level
change.
No
No
No
Not an aeroplane-level
change.
No
No
No
No
No
No
Structural strength
increases.
No
No
No
Not an aeroplane-level
change.
Although a major change to
the aeroplane, likely the
original general
configuration, principles of
construction, and
certification assumptions
remain valid.
Although a major change to
the aeroplane, likely the
original general
configuration, principles of
construction, and
certification assumptions
remain valid.
5.
6.
7.
8.
9.
10.
11.
12.
13.
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Notes
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Annex I
SECTION A — TECHNICAL
REQUIREMENTS
Table A-3. Examples of Not Significant Changes for Small Aeroplanes (CS-23)
Example
Description of change
14.
Instrument flight rules
(IFR) upgrades
involving installation
of components (where
the original
certification does not
indicate that the
aeroplane is not
suitable as an IFR
platform, e.g. special
handling concerns).
Fuel tanks where fuel
is changed from
gasoline to diesel fuel
and tank support loads
are small enough that
an extrapolation from
the previous analysis
would be valid.
Chemical compatibility
would have to be
substantiated.
Limited changes to a
pressurisation system,
e.g. number of outflow
valves, type of
controller, or size of
pressurised
compartment, but the
system must be resubstantiated if the
original test data are
invalidated.
Install a different
exhaust system.
Changes to engine
cooling or cowling.
Changing fuels of
substantially the same
type, such as AvGas to
AutoGas, AvGas
(80/87) to AvGas
(100LL), ethanol to
isopropyl alcohol, Jet B
to Jet A.
15.
16.
17.
18.
19.
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Is there a
change to the
general
configuration?
21.A.101(b)(1)(i)
Is there a
change to the
principles of
construction?
21.A.101(b)(1)(i)
Have the
assumptions
used for
certification been
invalidated?
21.A.101(b)(1)(ii)
No
No
No
Not an aeroplane-level
change.
No
No
No
Not an aeroplane-level
change.
No
No
No
Although a major change to
the aeroplane, likely the
original general
configuration, principles of
construction, and
certification assumptions
remain valid.
No
No
No
No
No
No
No
No
No
Not an aeroplane-level
change.
Not an aeroplane-level
change.
Although a major change to
the aeroplane, likely the
original general
configuration, principles of
construction, and
certification assumptions
remain valid.
Notes
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Annex I
SECTION A — TECHNICAL
REQUIREMENTS
Table A-3. Examples of Not Significant Changes for Small Aeroplanes (CS-23)
Is there a
change to the
general
configuration?
21.A.101(b)(1)(i)
Is there a
change to the
principles of
construction?
21.A.101(b)(1)(i)
Have the
assumptions
used for
certification been
invalidated?
21.A.101(b)(1)(ii)
Example
Description of change
20.
Fuels that specify
different levels of
‘conventional’ fuel
additives that do not
change the primary
fuel type. Different
additive levels
(controlled) of MTBE,
ETBE, ethanol, amines,
etc., in AvGas would
not be considered a
significant change.
A change to the
maximum take-off
weight of less than 5
per cent, unless
assumptions made in
justification of the
design are thereby
invalidated.
An additional aileron
tab (e.g. on the other
wing).
No
No
No
Although a major change to
the aeroplane, likely the
original general
configuration, principles of
construction, and
certification assumptions
remain valid.
No
No
No
Although a major change to
the aeroplane, likely the
original general
configuration, principles of
construction, and
certification assumptions
remain valid.
No
No
No
Larger diameter flight
control cables with no
change to routing, or
other system design.
Autopilot installation
(for IFR use, unless the
original certification
indicates that the
aeroplane is not
suitable as an IFR
platform).
Increased battery
capacity or relocate
battery.
Replace generator
with alternator.
Additional lighting
(e.g. navigation lights,
strobes).
Higher capacity brake
assemblies.
Increase in fuel tank
capacity.
Addition of an oxygen
system.
No
No
No
Although a major change to
the aeroplane, likely the
original general
configuration, principles of
construction, and
certification assumptions
remain valid.
Not an aeroplane-level
change.
No
No
No
No
No
No
No
No
No
No
No
No
No
No
No
No
No
No
No
No
No
21.
22.
23.
24.
25.
26.
27.
28.
29.
30.
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Notes
Although a major change to
the aeroplane, likely the
original general
configuration, principles of
construction, and
certification assumptions
remain valid.
Not an aeroplane-level
change.
Not an aeroplane-level
change.
Not an aeroplane-level
change.
Not an aeroplane-level
change.
Not an aeroplane-level
change.
Not an aeroplane-level
change.
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Annex I
SECTION A — TECHNICAL
REQUIREMENTS
Table A-3. Examples of Not Significant Changes for Small Aeroplanes (CS-23)
Is there a
change to the
principles of
construction?
21.A.101(b)(1)(i)
Have the
assumptions
used for
certification been
invalidated?
21.A.101(b)(1)(ii)
Example
Description of change
Is there a
change to the
general
configuration?
21.A.101(b)(1)(i)
31.
Relocation of a galley.
No
No
No
32.
Passenger-to-freight
(only) conversion with
no change to basic
fuselage structure.
No
No
No
33.
New cabin interior
with no fuselage
length change.
Installation of new
seat belt or shoulder
harness.
A small increase in
centre of gravity (CG)
range.
No
No
No
No
No
No
Not an aeroplane-level
change.
No
No
No
36.
Auxiliary power unit
(APU) installation that
is not flight-essential.
No
No
No
37.
An alternative
autopilot.
Addition of Class B
terrain awareness and
warning system
(TAWS).
Extending an
established life limit.
No
No
No
No
No
No
At aeroplane level, no
change to general
configuration, principles of
construction, and
certification assumptions.
Although a major change to
the aeroplane level, likely
the original general
configuration, principles of
construction, and
certification assumptions
remain valid.
Requires certification
substantiation applicable to
APU installation certification
specifications.
Not an aeroplane-level
change.
Not an aeroplane-level
change.
No
No
No
34.
35.
38.
39.
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Notes
Not an aeroplane-level
change.
Although a major change to
the aeroplane, likely the
original general
configuration, principles of
construction, and
certification assumptions
remain valid.
Requires certification
substantiation applicable to
freighter certification
specifications.
—
This extension may be
accomplished by various
methods, such as ongoing
fatigue testing, service life
evaluation, component level
replacement, and
inspections based on
damage-tolerance
principles.
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Annex I
SECTION A — TECHNICAL
REQUIREMENTS
Table A-3. Examples of Not Significant Changes for Small Aeroplanes (CS-23)
Example
Description of change
40.
Flight deck
replacement of highly
integrated and
combined electronic
display systems with
other highly integrated
and combined
electronic display
systems.
Interior cabin
reconfigurations are
generally considered
not significant. This
includes installation of
in-flight entertainment
(IFE), new seats, and
rearrangement of
furniture.
Modification to ice
protection systems.
41.
42.
Is there a
change to the
general
configuration?
21.A.101(b)(1)(i)
Is there a
change to the
principles of
construction?
21.A.101(b)(1)(i)
Have the
assumptions
used for
certification been
invalidated?
21.A.101(b)(1)(ii)
No
No
No
Not significant if the
architecture concepts,
design philosophies,
human–machine interface,
or flight-crew workload
assumptions are not
impacted.
No
No
No
—
No
No
No
Recertification required, but
certification basis should be
evaluated for adequacy.
Notes
A.2
Examples of Substantial, Significant, and Not Significant Changes for Large Aeroplanes
(CS-25).
A.2.1
Table A-4 contains examples of changes that are ‘substantial’ for large aeroplanes (CS-25).
Table A-4. Examples of Substantial Changes for Large Aeroplanes (CS-25)
Example
Description of Change
Notes
1.
Change to the number or location of engines,
e.g. four to two wing-mounted engines or two
wing-mounted to two body-mounted engines.
2.
Change from a high-wing to low-wing
configuration.
3.
Change from an all-metal to all-composite
aeroplane.
4.
Change of empennage configuration for larger
aeroplanes (cruciform vs ‘T’ or ‘V’ tail).
5.
Increase from subsonic to supersonic flight
regime.
Proposed change to design is so extensive that a
substantially complete investigation of compliance with
the applicable certification basis is required.
Proposed change to design is so extensive that a
substantially complete investigation of compliance with
the applicable certification basis is required.
Proposed change to design is so extensive that a
substantially complete investigation of compliance with
the applicable certification basis is required.
Proposed change to design is so extensive that a
substantially complete investigation of compliance with
the applicable certification basis is required.
Proposed change to design is so extensive that a
substantially complete investigation of compliance with
the applicable certification basis is required.
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A.2.2 Table A-5 contains examples of changes that are ‘significant’ for large aeroplanes (CS-25).
Table A-5. Examples of Significant Changes for Transport Large Aeroplanes (CS-25)
Example
Description of change
1.
Reduction in the number
of flight crew (in
conjunction with flight
deck update).
No
No
Have the
assumptions
used for
certification been
invalidated?
21.A.101(b)(1)(ii)
Yes
2.
Modify an aeroplane
to add certification for
flight in icing
conditions by adding
systems, such as ice
detection and ice
protection.
Conversion —
passenger or
combination
freighter/passenger to
all-freighter, including
cargo door, redesign
floor structure and 9g
net or rigid barrier.
Conversion from a
cargo to passenger
configuration.
Yes
No
Yes
New aircraft operating
envelope. Requires major
new systems installation and
aircraft evaluation.
Operating envelope
changed.
Yes
No
Yes
Extensive airframe changes
affecting load paths,
aeroelastic characteristics,
aircraft-related systems for
fire protection, etc. Design
assumptions changed from
passenger to freighter.
Yes
No
Yes
5.
Increase in cabin
pressurisation greater
than 10 per cent.
No
No
Yes
6.
Addition of leadingedge slats.
Yes
No
Yes
Completely new floor
loading and design.
Redistribution of internal
loads, change to cabin safety
certification specifications,
system changes.
A change greater than 10
per cent in operational cabin
pressure differential is a
significant change since it
requires extensive airframe
changes affecting load
paths, fatigue evaluation, or
aeroelastic characteristics,
invalidating the certification
assumptions.
The addition of leading-edge
slats is significant since it
requires extensive changes
to wing structure, adds
aircraft systems, and
requires a new AFM to
address performance and
flight characteristics.
3.
4.
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Is there a
change to the
general
configuration?
21.A.101(b)(1)(i)
Is there a
change to the
principles of
construction?
21.A.101(b)(1)(i)
Notes
Extensive changes to avionics
and aircraft systems. Impact to
flight-crew workload and human
factors, pilot type rating.
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SECTION A — TECHNICAL
REQUIREMENTS
Table A-5. Examples of Significant Changes for Transport Large Aeroplanes (CS-25)
Is there a
change to the
general
configuration?
21.A.101(b)(1)(i)
Is there a
change to the
principles of
construction?
21.A.101(b)(1)(i)
Have the
assumptions
used for
certification been
invalidated?
21.A.101(b)(1)(ii)
Example
Description of change
7.
Fuselage stretch or
shortening in the cabin
or pressure vessel.
Yes
No
Yes
8.
Extensive structural
airframe modification,
such as installation of
a large telescope with
large opening in the
fuselage.
Yes
No
No
9.
Changing the number
of axles or number of
landing gear done in
context with a product
change that involves
changing the
aeroplane’s gross
weight.
Yes
No
No
10.
Primary structure
changes from metallic
material to composite
material.
An increase in design
weight of more than
10 per cent.
No
Yes
No
No
No
Yes
11.
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Notes
Cabin interior changes are
related changes since
occupant safety
considerations are impacted
by a cabin length change.
Even if a new cabin interior
is not included in the
product-level change, the
functional effect of the
fuselage plug has
implications on occupant
safety (e.g. the dynamic
environment in an
emergency landing,
emergency evacuation, etc.),
and thus the cabin interior
becomes an affected area.
These types of structural
modifications are significant
since they require extensive
changes to fuselage
structure, affect aircraft
systems, and require a new
AFM to address
performance and flight
characteristics.
This type of landing gear
change with an increase in
gross weight is significant
since it requires changes to
aircraft structure, affects
aircraft systems, and
requires AFM changes,
which invalidate the
certification assumptions.
Change to principles of
construction and design
from conventional practices.
Design weight increases of
more than 10 per cent result
in significant design load
increase that invalidates the
assumptions used for
certification, requiring resubstantiation of aircraft
structure, aircraft
performance, and flying
qualities and associated
systems.
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Annex I
SECTION A — TECHNICAL
REQUIREMENTS
Table A-5. Examples of Significant Changes for Transport Large Aeroplanes (CS-25)
Is there a
change to the
general
configuration?
21.A.101(b)(1)(i)
Is there a
change to the
principles of
construction?
21.A.101(b)(1)(i)
Have the
assumptions
used for
certification been
invalidated?
21.A.101(b)(1)(ii)
Example
Description of change
12.
Installation of
winglets, modification
of existing winglets, or
other changes to wing
tip design.
Yes
No
Yes
13.
Changes to wing span,
chord, or sweep.
Yes
No
Yes
14.
A change to the type
or number of
emergency exits or an
increase in the
maximum certified
number of passengers.
A comprehensive
avionics upgrade that
changes a federated
avionics system to a
highly integrated
avionics system.
An avionics upgrade
that changes the
method of input from
the flight crew, which
was not contemplated
during the original
certification.
Yes
No
Yes
No
No
Yes
This change refers to the
avionics system that feeds
the output to displays and
not the displays themselves.
No
No
Yes
A change that includes
touchscreen technology
typically does not invalidate
the assumptions used for
certification. A change that
incorporates voice-activated
controls or other novel
human–machine interface
would likely invalidate the
assumptions used for
certification.
15.
16.
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Notes
Significant if it requires
extensive changes to wing
structure or aircraft systems,
or if it requires a new AFM
to address performance and
flight characteristics. It may
also affect the wing fuel
tanks, including fuel tank
lightning protection, fuel
tank ignition source
prevention, and fuel tank
flammability exposure.
Significant if it requires
extensive changes to wing
structure or aircraft systems,
or if it requires a new AFM
to address performance and
flight characteristics. It may
also affect the wing fuel
tanks, including fuel tank
lightning protection, fuel
tank ignition source
prevention, and fuel tank
flammability exposure.
—
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Annex I
SECTION A — TECHNICAL
REQUIREMENTS
Table A-5. Examples of Significant Changes for Transport Large Aeroplanes (CS-25)
Is there a
change to the
general
configuration?
21.A.101(b)(1)(i)
Is there a
change to the
principles of
construction?
21.A.101(b)(1)(i)
Have the
assumptions
used for
certification been
invalidated?
21.A.101(b)(1)(ii)
Example
Description of change
17.
Change to primary
flight controls to FBW
system. (Some
aeroplanes have some
degree of FBW.
Achieving full FBW
may be a not
significant change on
some aeroplanes.)
No
No
Yes
18.
Replace reciprocating
with turbo-propeller
engines.
Yes
No
No
19.
Maximum continuous
or take-off thrust or
power increase of
more than 10 per cent
or, for turbofans, an
increase of the nacelle
diameter.
No
No
Yes
20.
Initial installation of an
autoland system.
No
No
Yes
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Notes
When the degree of change
is so extensive that it affects
basic aircraft systems
integration and architecture
concepts and philosophies.
This drives a complete
reassessment of flight-crew
workload, handling qualities,
and performance evaluation,
which are different from the
original design assumptions.
Requires extensive changes
to airframe structure,
addition of aircraft systems,
and new AFM to address
performance and flight
characteristics.
A thrust or power increase
of more than 10 per cent is
significant because it does
have a marked effect on
aircraft performance and
flying qualities, or requires
re-substantiation of
powerplant installation. An
increase of the nacelle
diameter as a result of an
increase in the bypass ratio
is significant because it
results in airframe-level
effects on aircraft
performance and flying
qualities. However, a small
increase of the nacelle
diameter would not have
such an airframe-level effect
and would not be
considered a significant
change.
Baseline aeroplane not
designed for autoland
operation, potential flightcrew workload, and systems
compatibility issues.
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Annex I
SECTION A — TECHNICAL
REQUIREMENTS
Table A-5. Examples of Significant Changes for Transport Large Aeroplanes (CS-25)
Is there a
change to the
general
configuration?
21.A.101(b)(1)(i)
Is there a
change to the
principles of
construction?
21.A.101(b)(1)(i)
Have the
assumptions
used for
certification been
invalidated?
21.A.101(b)(1)(ii)
Example
Description of change
21.
Installation of a new
fuel tank, e.g.
installation of an
auxiliary fuel tank in a
cargo bay or
installation of an
auxiliary fuel tank that
converts a dry bay into
a fuel tank (such as a
horizontal stabiliser
tank).
Main deck cargo door
installation.
No
No
Yes
Requires changes to
airframe, systems, and AFM.
Results in performance
changes. These changes
typically affect fuel tank
lightning protection, fuel
tank ignition source
prevention, and fuel tank
flammability exposure.
Yes
No
No
23.
Expansion of an
aircraft’s operating
envelope.*
No
No
Yes*
*Some changes
may be deemed
‘not significant’
depending on
the extent of
the expansion.
24.
Changing the floor
from passengercarrying to cargocarrying capability.
Yes
No
Yes
25.
Initial installation of an
APU essential for
aircraft flight
operation.
No
No
Yes
26.
Conversion from
hydraulically actuated
brakes to electrically
actuated brakes.
Installation of engine
thrust reversers.
No
No
Yes
Redistribution of internal
loads, change to aeroelastic
characteristics, system
changes.
An expansion of operating
capability is a significant
change (e.g. an increase in
maximum altitude
limitation, approval for flight
in icing conditions, or an
increase in airspeed
limitations).
Completely new floor
loading and design.
Redistribution of internal
loads, change to cabin safety
certification specifications,
system changes. If a cargo
handling system is installed,
it would be a related
change.
Changes to emergency
electrical power certification
specifications, change to
aircraft flight manual and
operating characteristics.
Assumptions of certification
for aeroplane performance
are changed.
Yes
No
Yes
22.
27.
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SECTION A — TECHNICAL
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Table A-5. Examples of Significant Changes for Transport Large Aeroplanes (CS-25)
Is there a
change to the
general
configuration?
21.A.101(b)(1)(i)
Is there a
change to the
principles of
construction?
21.A.101(b)(1)(i)
Have the
assumptions
used for
certification been
invalidated?
21.A.101(b)(1)(ii)
Example
Description of change
28.
Request for extendedrange operations
(ETOPS) type design
approval for: (a)
aeroplanes without an
existing ETOPS type
design approval, and
(b) extension of an
aeroplane’s diversion
time.
No
No
Yes
29.
Installation of an
engine with a FADEC
on an aeroplane that
did not previously
have a FADEC engine
installed.
No
No
Yes
Notes
An expansion of diversion
capability for ETOPS would
normally be a significant
change. However, expanding
the diversion capability for
which it was originally
designed is generally not a
significant change. In this
case, the assumptions used
for certification of the basic
product remain valid, and
the results can be applied to
cover the changed product
with predictable effects or
can be demonstrated
without significant physical
changes to the product.
A change from a mechanical
control engine to a FADEC
engine may be so extensive
that it affects basic aircraft
systems integration and
architecture concepts and
philosophies. This drives a
complete reassessment of
flight-crew workload,
handling qualities, and
performance evaluation,
which are different from the
original design assumptions.
A.2.3 Table A-6 contains examples of changes that are ‘not significant’ for large aeroplanes (CS-25).
Table A-6. Examples of Not Significant Changes for Large Aeroplanes (CS-25)
Example
Description of change
1.
Alternate engine
installation or hush kit at
same position.
No
No
Have the
assumptions
used for
certification been
invalidated?
21.A.101(b)(1)(ii)
No
2.
A small change to
fuselage length due to
re-fairing the aft body
or radome.
No
No
No
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Is there a
change to the
general
configuration?
21.A.101(b)(1)(i)
Is there a
change to the
principles of
construction?
21.A.101(b)(1)(i)
Notes
It is not significant so long as
there is less than a 10 per cent
increase in thrust or there is not
a change to the principles of
propulsion. A change to position
to accommodate a different
engine size could influence
aeroplane performance and
handling qualities and result in a
significant change.
For cruise performance
reasons, where such
changes do not require
extensive structural,
systems, aerodynamic, or
AFM changes.
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SECTION A — TECHNICAL
REQUIREMENTS
Table A-6. Examples of Not Significant Changes for Large Aeroplanes (CS-25)
Example
Description of change
3.
Re-fairing of wing tip
caps (for lights, fuel
dump pipes) and
addition of splitter
plates to the trailing
edge thickness of the
cruise aerofoil.
Additional power used
to enhance highaltitude or hot-day
performance.
No
No
Have the
assumptions
used for
certification been
invalidated?
21.A.101(b)(1)(ii)
No
No
No
No
5.
Installation of an
autopilot system.
No
N/A
See notes
6.
Change from
assembled primary
structure to
monolithic or
integrally machined
structure.
Modification to ice
protection systems.
No
No
No
No
No
No
Brakes: design or
material change, e.g.
steel to carbon.
No
No
No
4.
7.
8.
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Is there a
change to the
general
configuration?
21.A.101(b)(1)(i)
Is there a
change to the
principles of
construction?
21.A.101(b)(1)(i)
Notes
Does not require extensive
structural, AFM, or systems
changes.
Usually no change to basic
operating envelope. Existing
certification data can be
extrapolated. Could be
significant product change if
the additional power is
provided by installation of a
rocket motor or additional,
on demand engine due to
changes to certification
assumptions.
It may be possible that the
modification is adaptive in
nature, with no change to
original certification
assumptions. However, in
certain cases the installation
of an autopilot may include
extensive changes and
design features that change
both the general
configuration and the
assumptions for certification
(i.e. installation of the
autopilot may introduce a
number of additional
mechanical and electronic
failure modes and change
the hazard classification of
given aircraft-level failures).
Method of construction
must be well understood.
Recertification required, but
certification basis is
adequate.
Recertification required, but
certification basis is
adequate.
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Annex I
SECTION A — TECHNICAL
REQUIREMENTS
Table A-6. Examples of Not Significant Changes for Large Aeroplanes (CS-25)
Is there a
change to the
general
configuration?
21.A.101(b)(1)(i)
Is there a
change to the
principles of
construction?
21.A.101(b)(1)(i)
Have the
assumptions
used for
certification been
invalidated?
21.A.101(b)(1)(ii)
Example
Description of change
9.
Redesign floor
structure.
No
No
No
10.
New cabin interior
with no fuselage
length change.
No
No
No
11.
A rearrangement of an
interior (e.g. seats,
galleys, lavatories,
closets, etc.).
Novel or unusual
method of
construction of a
component.
No
No
No
No
No
No
Initial installation of a
non-essential APU.
No
No
No
12.
13.
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Notes
By itself, not a significant
product change. It is
significant if part of a cargo
conversion of a passenger
aeroplane.
A new cabin interior
includes new ceiling and
sidewall panels, stowage,
galleys, lavatories, and seats.
Novel or unusual design
features in the cabin interior
may require special
conditions. Many interiorrelated certification
specifications are
incorporated in operational
rules. Even though the
design approval holder may
not be required to comply
with these certification
specifications, the operator
may be required to comply.
—
The component change does
not rise to the product level.
Special conditions could be
required if there are no
existing certification
specifications that
adequately address these
features.
A stand-alone initial APU
installation on an aeroplane
originally designed to use
ground- or airport-supplied
electricity and air
conditioning. In this case,
the APU would be an option
to be independent of airport
power.
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Annex I
SECTION A — TECHNICAL
REQUIREMENTS
Table A-6. Examples of Not Significant Changes for Large Aeroplanes (CS-25)
Is there a
change to the
general
configuration?
21.A.101(b)(1)(i)
Is there a
change to the
principles of
construction?
21.A.101(b)(1)(i)
Have the
assumptions
used for
certification been
invalidated?
21.A.101(b)(1)(ii)
Example
Description of change
14.
Increasing the life limit
as CS 25.571 fatigue
testing progresses for
a recently typecertified aeroplane.
No
No
No
15.
Extending limit of
validity (LOV)
No
No
No
16.
Airframe life
extension.
No
No
No
17.
Changes to the type or
number of emergency
exits by de-rating
doors or deactivating
doors with
corresponding
reduction in passenger
capacity.
No
No
No
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Notes
For example, a recently
type-certified aeroplane
may undergo fatigue testing
as part of compliance with
CS 25.571. In this case, the
TC holder may specify an
initial life limit in the
airworthiness limitations
section (ALS) and gradually
increase that life limit as
fatigue testing progresses.
Such change to the ALS is
considered not significant.
Extending an LOV without
any other change to the
aeroplane is not a significant
change. However, if
extending the LOV requires
a physical design change to
the aeroplane, the design
change is evaluated to
determine the level of
significance of the design
change.
This does not include
changes that involve
changes to design loads,
such as pressurisation or
weight increases. Also, this
does not include changing
from safe life to damage
tolerance.
The new emergency egress
does not exceed that
previously substantiated
because the certified
number of passengers is
reduced.
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Annex I
SECTION A — TECHNICAL
REQUIREMENTS
Table A-6. Examples of Not Significant Changes for Large Aeroplanes (CS-25)
Is there a
change to the
general
configuration?
21.A.101(b)(1)(i)
Is there a
change to the
principles of
construction?
21.A.101(b)(1)(i)
Have the
assumptions
used for
certification been
invalidated?
21.A.101(b)(1)(ii)
Example
Description of change
18.
Request for ETOPS
type design approval
for a type design
change of a product
with an existing ETOPS
type design approval.
No
No
No
19.
An avionics change
from federated
electromechanical
displays to federated
electronic displays.
An avionics change
replacing an
integrated avionics
system with another
integrated avionics
system.
No
No
No
No
No
No
20.
Notes
A change to a product with
an existing ETOPS type
design approval without a
change to diversion
capability would normally
not be significant. However,
if the existing ETOPS type
design approval was based
on policy prior to the
adoption of transport
category ETOPS
airworthiness standards,
then there is not an
adequate certification basis
to evaluate the type design
change for ETOPS.
In this case, the change is
still not significant, and the
appropriate transport
category ETOPS
airworthiness standards
would apply.
Changing an
electromechanical display to
an electronic display is not
considered significant.
The assumptions used to
certify a highly integrated
avionics system should be
the same for another highly
integrated avionics system.
A.3
Examples of Substantial, Significant, and Not Significant Changes for Rotorcraft (CS-27 and
CS-29).
A.3.1
Table A-7 contains examples of changes that are ‘substantial’ for rotorcraft (CS-27 and CS-29).
Table A-7. Examples of Substantial Changes for Rotorcraft (CS-27 and 29)
Example
Description of Change
Notes
1.
Change from the number and/or configuration
of rotors (e.g. main & tail rotor system to two
main rotors).
2.
Change from an all-metal rotorcraft to allcomposite rotorcraft.
Proposed change to design is so extensive that a
substantially complete investigation of compliance with
the applicable certification basis is required.
Proposed change to design is so extensive that a
substantially complete investigation of compliance with
the applicable certification basis is required.
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SECTION A — TECHNICAL
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A.3.2 Table A-8 contains examples of changes that are ‘significant’ for rotorcraft (CS-27 and CS-29).
Example
1.
Table A-8. Examples of Significant Changes for Rotorcraft (CS-27 and CS-29)
Have the
Is there a
Is there a
assumptions
change to the
change to the
used for
Description of change
general
principles of
Notes
certification been
configuration?
construction?
invalidated?
21.A.101(b)(1)(i) 21.A.101(b)(1)(i)
21.A.101(b)(1)(ii)
Comprehensive flight
No
No
Yes
Affects avionics and electrical
deck upgrade, such as
systems integration and
conversion from entirely
architecture concepts and
federated, independent
philosophies.
electromechanical flight
This drives a reassessment of
instruments to highly
the human–machine interface,
integrated and combined
flight-crew workload, and reelectronic display systems
evaluation of the original design
with extensive use of
flight deck assumptions.
software and/or complex
electronic hardware.
2.
Certification for flight
into known icing
conditions.
No
No
Yes
3.
(Fixed) flying controls
from mechanical to flyby-wire.
No
No
Yes
4.
Addition of an engine;
e.g. from single to twin or
reduction of the number
of engines; e.g. from twin
to single.
A change of the rotor
drive primary gearbox
from a splash-type
lubrication system to a
pressure-lubricated
system due to an increase
in horsepower of an
engine or changing from a
piston engine to turbine
engine.
A fuselage or tail boom
modification that changes
the primary structure,
aerodynamics, and
operating envelope
sufficiently to invalidate
the certification
assumptions.
Application of an
approved primary
structure to a different
approved model (e.g.
installation on a former
model of a main rotor
that has been approved
on a new model, and that
results in increased
performance).
Yes
Yes
Yes
This drives a complete
reassessment of the rotorcraft
controllability and flight control
failure.
—
No
Yes
Yes
—
Yes
No
Yes
—
No
Yes
Yes
—
5.
6.
7.
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Table A-8. Examples of Significant Changes for Rotorcraft (CS-27 and CS-29)
Is there a
change to the
general
configuration?
21.A.101(b)(1)(i)
Is there a
change to the
principles of
construction?
21.A.101(b)(1)(i)
Have the
assumptions
used for
certification been
invalidated?
21.A.101(b)(1)(ii)
Example
Description of change
8.
Emergency medical
service (EMS)
configuration with
primary structural
changes sufficient to
invalidate the
certification assumptions.
No
No
Yes
9.
Skid landing gear to
wheel landing gear or
wheel landing to skid.
Change of the number of
rotor blades.
Change of tail anti-torque
device (e.g. tail rotor,
ducted fan, or other
technology).
Yes
No
Yes
Many EMS configurations will
not be classified as significant.
Modifications made for EMS are
typically internal, and the
general external configuration is
normally not affected. These
changes should not
automatically be classified as
significant.
Note: Door addition or
enlargement involving structural
change would be significant.
—
Yes
No
Yes
—
Yes
Yes
No
—
Passenger-configured
helicopter to a
firefighting-equipmentconfigured helicopter.
Passenger-configured
helicopter to an
agricultural-configured
helicopter.
An initial Category A
certification approval to
an existing configuration.
IFR upgrades involving
installation of upgraded
components for new IFR
configuration.
Human external cargo
(HEC) certification
approval.
Yes
No
Yes
Depends on the firefighting
configuration.
Yes
No
Yes
Depends on the agricultural
configuration.
No
No
Yes
—
No
No
Yes
No
No
Yes
Changes to architecture
concepts, design philosophies,
human-machine interface, or
flight-crew workload.
Must comply with the latest
HEC certification specifications
in order to obtain operational
approval. Assumptions used for
certification are considered
invalidated when this leads to a
significant re-evaluation, for
example, of fatigue, quickrelease systems, HIRF, oneengine-inoperative (OEI)
performance, and OEI
procedures.
Reducing the number of
pilots for IFR from two to
one.
An avionics upgrade that
changes a federated
avionics system to a
highly integrated avionics
system.
No
No
Yes
—
No
No
Yes
This change refers to the
avionics system that feeds the
output to displays and not the
displays themselves.
10.
11.
12.
13.
14.
15.
16.
17.
18.
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SECTION A — TECHNICAL
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Table A-8. Examples of Significant Changes for Rotorcraft (CS-27 and CS-29)
Example
Description of change
19.
An avionics upgrade that
changes the method of
input from the flight
crew, which was not
contemplated during the
original certification.
Is there a
change to the
general
configuration?
21.A.101(b)(1)(i)
Is there a
change to the
principles of
construction?
21.A.101(b)(1)(i)
Have the
assumptions
used for
certification been
invalidated?
21.A.101(b)(1)(ii)
No
No
Yes
Notes
A change that includes
touchscreen technology
typically does not invalidate the
assumptions used for
certification.
A change that incorporates
voice-activated controls or
other novel human-machine
interface would likely invalidate
the assumptions used for
certification.
A.3.3 Table A-9 contains examples of changes that are ‘not significant’ changes for rotorcraft (CS-27 and CS-29).
Example
1.
Table A-9. Examples of Not Significant Changes for Rotorcraft (CS-27 and CS-29)
Have the
Is there a
Is there a
assumptions
change to the
change to the
used for
Description of change
general
principles of
Notes
certification been
configuration?
construction?
invalidated?
21.A.101(b)(1)(i) 21.A.101(b)(1)(i)
21.A.101(b)(1)(ii)
Emergency floats.
No
No
No
Must comply with the specific
applicable certification
specifications for emergency
floats. This installation, in itself,
does not change the rotorcraft
configuration, overall
performance, or operational
capability. Expanding an
operating envelope (such as
operating altitude and
temperature) and mission
profile (such as passengercarrying operations to externalload operations, flight over
water, or operations in snow
conditions) are not by
themselves so different that the
original certification
assumptions are no longer valid
at the type-certified-product
level.
2.
Forward looking
infrared (FLIR) or
surveillance camera
installation.
No
No
No
Additional flight or structural
evaluation may be necessary
but the change does not
alter the basic rotorcraft
certification.
3.
Helicopter terrain
awareness warning
system (HTAWS) for
operational credit.
No
No
No
4.
Health usage monitoring
system (HUMS) for
maintenance credit.
No
No
No
Certified under rotorcraft
HTAWS AMC guidance material
and ETSO-C194. Does not alter
the basic rotorcraft
configuration.
Certified under rotorcraft HUMS
GM guidance material. Does not
alter the basic rotorcraft
configuration.
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Table A-9. Examples of Not Significant Changes for Rotorcraft (CS-27 and CS-29)
Is there a
change to the
general
configuration?
21.A.101(b)(1)(i)
Is there a
change to the
principles of
construction?
21.A.101(b)(1)(i)
Have the
assumptions
used for
certification been
invalidated?
21.A.101(b)(1)(ii)
No
No
Example
Description of change
5.
Expanded limitations with
minimal or no design
changes, following
further tests/justifications
or different mix of
limitations (CG limits, oil
temperatures, altitude,
minimum/maximum
weight, minimum/
maximum external
temperatures, speed,
engine ratings).
Change from a singlechannel FADEC to a dualchannel FADEC.
No
No
No
No
8.
Installation of a new
engine type, equivalent
to the former one, leaving
aircraft installation and
limitations substantially
unchanged.
Windscreen installation.
No
No
No
9.
Snow skis, ‘Bear Paws.’
No
No
No
6.
7.
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Notes
Changes to an operating
envelope (such as operating
altitude and temperature) and
mission profile (such as
passenger-carrying operations
to external-load operations,
flight over water, or operations
in snow conditions) that are not
so different that the original
certification assumptions
remain valid.
Change does not change the
overall product configuration or
the original certification
assumptions.
Refer to AMC 27 or AMC 29 for
guidance. Does not alter the
basic rotorcraft configuration,
provided there is no additional
capacity embedded in the new
design.
Does not change the rotorcraft
overall product configuration.
Must comply with specific
certification specifications
associated with the change.
Expanding an operating
envelope (such as operating
altitude and temperature) and
mission profile (such as
passenger-carrying operations
to external-load operations,
flight over water, or operations
in snow conditions) are not by
themselves so different that the
original certification
assumptions are no longer valid
at the type-certified-product
level.
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SECTION A — TECHNICAL
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Table A-9. Examples of Not Significant Changes for Rotorcraft (CS-27 and CS-29)
Is there a
change to the
principles of
construction?
21.A.101(b)(1)(i)
Have the
assumptions
used for
certification been
invalidated?
21.A.101(b)(1)(ii)
Example
Description of change
Is there a
change to the
general
configuration?
21.A.101(b)(1)(i)
10.
External cargo hoist.
No
No
No
11.
IFR upgrades involving
installation of upgraded
components to replace
existing components.
No
No
No
12.
An avionics change from
federated
electromechanical
displays to federated
electronic displays.
An avionics change
replacing an integrated
avionics system with
another integrated
avionics system.
Flight deck replacement
of highly integrated and
combined electronic
display systems with
other highly integrated
and combined electronic
display systems.
IFR upgrades involving
installation of upgraded
components for new IFR
configuration.
No
No
No
Changing an electromechanical
display to an electronic display
on a single avionics display is
not considered significant.
No
No
No
No
No
No
The assumptions used to certify
a highly integrated avionics
system should be the same for
another highly integrated
avionics system.
Not significant if the
architecture concepts, design
philosophies, human–machine
interface, flight-crew workload
design and flight-deck
assumptions are not impacted.
No
No
No
No changes to architecture
concepts, design philosophies,
human–machine interface, or
flight-crew workload.
Flight deck replacement
or upgrade of avionics
systems in non-Appendix
‘B’ (IFR) or non-CAT ‘A’
rotorcraft that can
enhance safety or pilot
awareness.
Modifications to noncrashworthy fuel systems
intended to improve its
crashworthiness.
No
No
No
—
No
No
No
—
13.
14.
15.
16.
17.
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Notes
Must comply with the specific
applicable certification
specifications for external loads.
This installation, in itself, does
not change the rotorcraft
configuration, overall
performance, or operational
capability. Expanding an
operating envelope (such as
operating altitude and
temperature) and mission
profile (such as passengercarrying operations to externalload operations (excluding HEC),
flight over water, or operations
in snow conditions) are not by
themselves so different that the
original certification
assumptions are no longer valid
at the type-certified-product
level.
Not a rotorcraft-level change.
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SECTION A — TECHNICAL
REQUIREMENTS
Table A-9. Examples of Not Significant Changes for Rotorcraft (CS-27 and CS-29)
Example
Description of change
18.
Changing the hydraulic
system from one similar
type of fluid to another,
e.g. a fluid change from a
highly flammable mineral
oil-based fluid
(MIL-H-5606) to a less
flammable synthetic
hydrocarbon-based fluid
(MIL-PRF-87257)
An ETSO C-127 dynamic
seat installed in a
helicopter with an
existing certification basis
prior to addition of
CS 29.562, Emergency
landing dynamic
conditions.
19.
Is there a
change to the
general
configuration?
21.A.101(b)(1)(i)
Is there a
change to the
principles of
construction?
21.A.101(b)(1)(i)
Have the
assumptions
used for
certification been
invalidated?
21.A.101(b)(1)(ii)
Notes
No
No
No
—
No
No
No
A.4
Examples of Substantial, Significant, and Not Significant Changes for Engines (CS-E)
A.4.1
Table A-10 contains examples of changes that are ‘substantial’ for engines (CS-E).
Table A-10. Examples of Substantial Changes for Engines (CS-E)
Example
Description of Change
1.
Traditional turbofan to geared-fan engine.
2.
Low-bypass ratio engine to high-bypass ratio
engine with an increased inlet area.
3.
Turbojet to turbofan.
4.
Turboshaft to turbo-propeller.
5.
Conventional ducted fan to unducted fan.
6.
Turbine engine for subsonic operation to
afterburning engine for supersonic operation.
A.4.2
Notes
Turbine Engines
Proposed change to design is so extensive that a
substantially complete investigation of compliance with
the applicable certification basis is required.
Proposed change to design is so extensive that a
substantially complete investigation of compliance with
the applicable certification basis is required.
Proposed change to design is so extensive that a
substantially complete investigation of compliance with
the applicable certification basis is required.
Proposed change to design is so extensive that a
substantially complete investigation of compliance with
the applicable certification basis is required.
Proposed change to design is so extensive that a
substantially complete investigation of compliance with
the applicable certification basis is required.
Proposed change to design is so extensive that a
substantially complete investigation of compliance with
the applicable certification basis is required.
Table A-11 contains examples of changes that are ‘significant’ for engines (CS-E).
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Table A-11. Examples of Significant Changes for Engines (CS-E)
Is there a
change to the
general
configuration?
21.A.101(b)(1)(i)
Example
Description of change
1.
Increase/decrease in the
number of
compressor/turbine
stages with resultant
change to approved
operational limitations.
Yes
2.
New design fan blade
and fan hub, or a
bladed fan disk to a
blisk, or a fan diameter
change, that could not
be retrofitted.
Yes
3.
Hydromechanical control
to FADEC/electronic
engine control (EEC)
without hydromechanical
backup.
A change to the
containment case from
hard-wall to composite
construction or vice versa
that could not be
retrofitted without
additional major changes
to the engine or
restricting the initial
limitations or restrictions
in the initial installation
manual.
A change to the gas
generator (core,
turbine/compressor/
combustor) in
conjunction with changes
to approved operating
limitations.
4.
5.
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Is there a
change to the
principles of
construction?
21.A.101(b)(1)(i)
Turbine Engines
No
Have the
assumptions
used for
certification been
invalidated?
21.A.101(b)(1)(ii)
Notes
Yes
Change is associated with other
changes that would affect the
rating of the engine and the
engine dynamic behaviour, such
as backbone bending, torque
spike effects on rotors and
casing, surge and stall
characteristics, etc.
No
Yes
Change is associated with
other changes to the engine
thrust/power, ratings, and
operating limitations; engine
dynamic behaviour in terms
of backbone bending, torque
spike effects on casing,
foreign object ingestion
behaviour (birds, hail, rain,
ice slab); blade-out test and
containment; induction
system icing capabilities;
and burst model protection
for the aircraft. If there is a
diameter change,
installation will be also
affected.
Yes
No
No
No
Yes
Yes
Change to engine control
configuration. Not
interchangeable. Likely
fundamental change to engine
operation.
Change to methods of
construction that have affected
inherent strength, backbone
bending, blade-to-case
clearance retention,
containment wave effect on
installation, effect on burst
model, torque spike effects.
No
No
Yes
Change is associated with other
changes that would affect
engine thrust/power and
operating limitations, and have
affected the dynamic behaviour
of the engine, foreign object
ingestion behaviour (birds, hail
storm, rain, ice shed), induction
system icing capabilities.
Assumptions used for
certification may no longer be
valid.
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SECTION A — TECHNICAL
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Table A-11. Examples of Significant Changes for Engines (CS-E)
Is there a
change to the
general
configuration?
21.A.101(b)(1)(i)
Is there a
change to the
principles of
construction?
21.A.101(b)(1)(i)
Have the
assumptions
used for
certification been
invalidated?
21.A.101(b)(1)(ii)
Yes
Yes
Change to principles of
construction and design.
No
Change to engine configuration:
installation interface of engine
changed.
Changes to principles of
construction: digital controllers
and sensors require new
construction techniques and
environmental testing.
Change to general
configuration: installation
interface of engine changed
(exhaust system).
Certification assumptions
invalidated: change to operating
envelope and performance.
Change to general
configuration: installation
interface of engine changed
(cooling lines from radiator,
change to cooling baffles).
Certification assumptions
invalidated: change to operating
envelope and engine
temperature certification
specifications.
Change to principles of
construction and design.
Example
Description of change
6.
A change from traditional
metal to composite
materials on an assembly
or structure that provides
a load path for the engine
affecting the engine
dynamic behaviour
and/or the engine
inherent strength.
No
7.
Convert from mechanical
to electronic control
system.
Yes
8.
Add turbocharger that
increases performance
and changes to overall
product.
Yes
No
Yes
9.
Convert from air-cooled
cylinders to liquid-cooled
cylinders.
Yes
No
Yes
10.
A change from traditional
metal to composite
materials on an assembly
or structure that provides
a load path for the engine
affecting the engine
dynamic behaviour
and/or the engine
inherent strength.
Convert from sparkignition to compressionignition.
No
Yes
Yes
Yes
No
Yes
11.
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Piston Engines
Yes
Notes
Change to general
configuration: installation
interface of engine changed (no
mixture lever).
Certification assumptions
invalidated: change to operating
envelope and performance.
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SECTION A — TECHNICAL
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A.4.3 Table A-12 contains examples of changes that are ‘not significant’ for engines (CS-E).
Example
1.
2.
Table A-12. Examples of Not Significant Changes for Engines (CS-E)
Have the
Is there a
Is there a
assumptions
change to the
change to the
used for
Description of change
general
principles of
Notes
certification been
configuration?
construction?
invalidated?
21.A.101(b)(1)(i) 21.A.101(b)(1)(i)
21.A.101(b)(1)(ii)
Turbine Engines
Change to the material
No
No
No
No change to performance.
from one type of metal to
Assumptions are still valid.
another type of metal of
a compressor drum.
Increase/decrease in
the number of
compressor/turbine
stages without
resultant change to
operational
performance
envelope.
Hardware design
changes to the
FADEC/EEC, the
introduction of which
does not change the
function of the system.
No
No
No
No change to performance.
Assumptions are still valid.
No
No
No
4.
Software changes.
No
No
No
No change to configuration.
Retrofitable.
Assumptions used for
certification are still valid.
Possible changes to
principles of construction
are insignificant.
—
5.
Rub-strip design
changes.
A new combustor that
does not change the
approved limitations
or dynamic
behaviour.*
(*Exclude life limits.)
Bearing changes.
New blade designs
with similar material
that can be retrofitted.
Fan blade redesign
that can be retrofitted.
Oil tank redesign.
Change from one
hydromechanical
control to another
hydromechanical
control.
Change to limits on
life-limited
components
supported by data that
became available after
certification.
Changes to limits on
exhaust gas
temperature.
No
No
No
Component-level change.
No
No
No
Component-level change.
No
No
No
No
No
No
Component-level change.
Component-level change.
No
No
No
Component-level change.
No
No
No
No
No
No
Component-level change.
Component-level change.
No
No
No
No
No
No
3.
6.
7.
8.
9.
10.
11.
12.
13.
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Extending or reducing the
life limits. For example,
extending life limits based
on credits from service
experience or new fatigue
data.
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SECTION A — TECHNICAL
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Table A-12. Examples of Not Significant Changes for Engines (CS-E)
Is there a
change to the
general
configuration?
21.A.101(b)(1)(i)
Is there a
change to the
principles of
construction?
21.A.101(b)(1)(i)
Have the
assumptions
used for
certification been
invalidated?
21.A.101(b)(1)(ii)
Notes
Example
Description of change
14.
Changes to the
Airworthiness
Limitations section
with no configuration
changes.
Bump ratings within
the product’s physical
capabilities that may
be enhanced with gas
path changes, such as
blade re-staggering,
cooling hole patterns,
blade coating changes,
etc.
No
No
No
—
No
No
No
—
New or redesigned
cylinder head, valves,
or pistons.
Changes to crankshaft.
Changes to crankcase.
Changes to
carburettor.
Changes to mechanical
fuel injection system.
Changes to mechanical
fuel injection pump.
Engine model change
to accommodate new
aircraft installation. No
change to principles of
operation of major
subsystems; no
significant expansion
in power or operating
envelopes or in
limitations.
A simple mechanical
change, or a change
that does not affect
the basic principles of
operation. For
example, change from
dual magneto to two
single magnetos on a
model.
No
No
—
Component-level change.
Component-level change.
Component-level change.
15.
16.
17.
18.
19.
20.
21.
22.
23.
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Piston Engines
No
No
No
No
No
No
No
No
No
No
No
No
No
No
No
No
Component-level change.
No
No
No
—
No
No
No
—
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SECTION A — TECHNICAL
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Table A-12. Examples of Not Significant Changes for Engines (CS-E)
Example
Description of change
24.
Subsystem change
produces no changes
to base engine input
parameters, and
previous analysis can
be reliably extended.
For example, a change
to turbocharger where
induction system inlet
conditions remain
unchanged, or if
changed, the effects
can be reliably
extrapolated.
Change to material of
secondary structure or
not highly loaded
component. For
example, a change
from metal to
composite material in
a non-highly loaded
component, such as an
oil pan that is not used
as a mount pad.
Change to material
that retains the
physical properties
and mechanics of load
transfer. For example,
a change to trace
elements in a metal
casting for ease of
pouring or to update
to a newer or more
readily available alloy
with similar
mechanical properties.
25.
26.
Is there a
change to the
general
configuration?
21.A.101(b)(1)(i)
Is there a
change to the
principles of
construction?
21.A.101(b)(1)(i)
Have the
assumptions
used for
certification been
invalidated?
21.A.101(b)(1)(ii)
Notes
No
No
No
—
No
No
No
Component-level change.
No
No
No
Component-level change.
A.5
Examples of Substantial, Significant, and Not Significant Changes for Propellers (CS-P).
A.5.1
Table A-13 contains an example of a change that is ‘substantial’ for propellers (CS-P).
Table A-13. Example of a Substantial Change for Propellers (CS-P)
Example
Description of Change
Notes
1.
Change to the number of blades.
Proposed change to design is so extensive that a
substantially complete investigation of compliance with
the applicable type-certification basis is required.
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A.5.2 Table A-14 contains examples of changes that are ‘significant’ for propellers (CS-P).
Example
1.
2.
Table A-14. Examples of Significant Changes for Propellers (CS-P)
Have the
Is there a
Is there a
assumptions
change to the
change to the
used for
Description of change
general
principles of
certification been
configuration?
construction?
invalidated?
21.A.101(b)(1)(i) 21.A.101(b)(1)(i)
21.A.101(b)(1)(ii)
Principle of pitch change,
Yes
Yes
Yes
such as a change from
single acting to dual
acting.
Introduction of a
different principle of
blade retention, such
as a single row to a
dual row bearing.
A hub configuration
change, such as a split
hub to a one-piece
hub.
Yes
Yes
No
Yes
Yes
No
Changing the method
of mounting the
propeller to the
engine, such as a
spline to a flange
mount.
Change to hub
material from steel to
aluminium.
Yes
Yes
No
Yes
Yes
No
6.
Change to blade
material from metal to
composite.
Yes
Yes
Yes
7.
Change from
hydromechanical to
electronic control.
Yes
Yes
Yes
3.
4.
5.
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Notes
Requires extensive modification
of the pitch change system with
the introduction of backup
systems. The inherent control
system requires re-evaluation.
Requires extensive
modification of the propeller
hub and blade structure.
The inherent strength
requires re-evaluation.
Requires extensive
modification of the propeller
hub structure. The inherent
strength requires reevaluation.
Requires extensive
modification of the propeller
hub structure. The inherent
strength requires reevaluation.
Requires extensive
modification of the propeller
hub structure and change to
method of blade retention.
The inherent strength
requires re-evaluation.
Requires extensive
modification of the propeller
blade structure and change
to method of blade
retention. Composite
construction methods
required. The inherent
strength requires reevaluation.
Electronic manufacturing
and design methods
required. Assumptions used
for certification are no
longer valid or not
addressed in the original
certification, i.e. HIRF and
lightning protection, fault
tolerance, software
certification, and other
aspects.
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SECTION A — TECHNICAL
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A.5.3 Table A-15 contains examples of changes that are ‘not significant’ for propellers (CS-P).
Example
1.
2.
3.
4.
5.
Table A-15. Examples of Not Significant Changes for Propellers (CS-P)
Have the
Is there a
Is there a
assumptions
change to the
change to the
used for
Description of change
general
principles of
Notes
certification been
configuration?
construction?
invalidated?
21.A.101(b)(1)(i) 21.A.101(b)(1)(i)
21.A.101(b)(1)(ii)
Change to the material of
No
No
No
Component-level change.
a blade bearing.
Change to a component
No
No
No
Component-level change.
in the control system.
Change to a propeller
No
No
No
Component-level change.
de-icer boot.
Changes to the
No
No
No
Propeller’s operating
operational design
characteristics and inherent
envelope, such as
strength require re-evaluation.
increase in power.
Change to the intended
No
No
No
Propeller’s operating
usage, such as normal to
characteristics and inherent
acrobatic category.
strength require re-evaluation.
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Appendix B to GM 21.A.101 Application charts for changed product rule
ED Decision 2017/024/R
Table A-16. Application Chart for 21.A.101(a) and (b) and 21.A.19
Substantial
(21.A.19)
Significant
(21.A.101(a) and (b))
Affected area
Substantially
(Changed and/or affected areas)
Unaffected area
changed product
New demonstration of compliance is required
No new
Compliance with all
Previously approved type design and compliance data may be allowed if
demonstration
latest CSs required
valid for the changed product.
of compliance is
for product
Compliance with the latest amendment
No material
required.
certification.
materially contributes to safety
contribution to safety
Unaffected area
Previously approved
continues to
Practical
Impractical
type design and
The applicant may
comply
with the
—
The applicant may
compliance data
propose a certification
existing
propose a certification
may be allowed if
basis using earlier CS(s),
certification
basis
using earlier CS(s),
valid for the changed
but not earlier than the
basis.
but not earlier than the
product.
existing TC basis.
existing TC basis.
Certification Basis Proposed by the Applicant
Existing
CSs at earlier amendments with supporting
New certification basis using latest CSs.
certification
rationale.
basis.
EASA Resultant Type-Certification Basis
New certification basis using the latest CSs,
and special conditions if required.
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New certification basis using the CSs at earlier
approved amendments, and special conditions if
required.
Existing
certification
basis.
Not Significant
(21.A.101)(b)(1))
Affected area
(Changed and/or affected
areas) New demonstration of
compliance is required. The
applicant may propose a
certification basis using an
earlier amendment but not
earlier than in the existing TC
basis. Previously approved
type design and compliance
data may be allowed if valid
for the changed product.
Unaffected area
No new
demonstration
of compliance is
required.
Unaffected area
continues to
comply with the
existing
certification
basis.
Existing certification basis
including ‘elects to comply’.
Existing
certification
basis.
Existing certification basis (if
adequate); if not, first
appropriate later
amendment(s) and/or special
conditions including ‘elects to
comply’.
Existing
certification
basis.
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Table A-17. Application Chart for 21.A.101(c) Excepted Products
Affected area
(Changed areas and/or unchanged but affected)
New demonstration of compliance is required.
Previously approved type design and compliance data may be allowed if valid for the changed product.
Type-Certification Basis Proposed by the Applicant
The existing TC basis, including ‘elects to comply’.
Found by EASA to be ‘significant in an area’.
Not ‘significant in an area’.
Compliance with a later amendment materially contributes to safety.
No material contribution
to safety.
Practical
Impractical
EASA Resultant Type-Certification Basis
The latest amendment designated by
The existing TC basis. If inadequate, the first appropriate later amendment. If not
EASA including special conditions and
appropriate, add special conditions, including ‘elects to comply’.
including ‘elects to comply’.
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Unaffected area
No new demonstration of
compliance is required.
Unaffected area continues to be
compliant with the existing TC basis.
The existing TC basis.
The existing TC basis.
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Appendix C to GM 21.A.101 A method to determine the changed
and affected areas
ED Decision 2017/024/R
C.1
Overview.
C.1.1 When a product is changed, some areas may change physically, while others may change
functionally. EASA refers to this combination as changed and affected areas. For example, an
extension to the wing of a fixed-wing aircraft would physically change the wing tip and likely
other wing structure. Some areas of the airframe may have sufficient strength for the increase
in load and would change functionally, i.e. they would carry greater load, but they would not
change physically. These areas have associated certification specifications, which become part
of the certification basis for the change.
C.1.2 Figure C-1 below provides an overview of one method that applicants may use to determine
the changed and affected areas and the applicable certification specifications.
Figure C-1. Method to Determine the Changed and Affected Areas
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Physical Changes.
C.2.1 Steps.
— Step 1. Make a list of the physical changes.
— Step 2. List the corresponding certification specifications applicable to the physical
changes.
— Step 3. List the amendment level recorded on the existing certification basis of the
baseline product and the amendments on the date of application.
C.2.2 Example.
The change is adding a winglet to a fixed-wing aircraft and a change to the leading-edge slats
for a performance increase. As part of the change, an electrically driven slat actuator is modified
by changing the mounting structure of the actuator used to connect the actuator to the slat.
The actuator structure is changed. The electrical system in the actuator is not affected. The
applicant would list certification specifications applicable to the actuator. The applicant would
not list the certification specifications applicable to the electrical system of the actuator. See
Table C-1 below for an example of how to chart a physical change and the associated
certification specifications.
Table C-1. Example of Associating a Physical Change with the Applicable Certification Specifications
Applicable Certification
Amendment of Existing
Specifications*
Certification Basis
Structural change to slat 25.xxx
25-aaa
actuator
25.yyy
25-bbb
25.zzz
25-ccc
* These would be certification specifications related to structural aspects only.
Physical Change
C.3
Amendment on
Application Date
25-ddd
25-eee
25-fff
Functional Changes.
C.3.1 Steps.
— Step 1. Describe each change.
— Step 2. Describe the effects of the change (e.g. structural, performance, electrical, etc.).
— Step 3. List the areas, systems, parts, and appliances that are affected by those effects.
— Step 4. List the certification specifications associated with the effects for each area,
system, part, or appliance.
— Step 5. List the amendment level recorded on the existing certification basis of the
baseline product and the amendments on the date of application.
C.3.2 Example.
The change is adding a winglet to a fixed-wing aircraft and a change to the leading-edge slats
for a performance increase. The wing root bending moment has increased. The loads in the
wing box are increased but the wing box has sufficient structural margins to carry the higher
loads. Thus, the wing box is not physically changed but its function has changed because it
carries greater loads. See Table C-2 below for an example of how to chart a functional change,
its effects, and the affected areas (steps 1 through 3 above). See Table C-3 below for an example
of how to chart an area affected by a functional change and the associated certification
specifications (steps 4 and 5 above).
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Table C-2. Example of a Functional Change, Affected Areas, and Associated Effects
Description of Change
Installation of winglet
Effects
Increased loads in wing structure
Effect 2*
Effect 3*
Affected Areas
Wing spars
Wing skins
Area 1
Area 2
Area 3
* There may be other effects as well.
Table C-3. Example of Associating Affected Areas with the Applicable Certification Specifications
Applicable Certification
Specifications*
25.xxx
25.yyy
25.zzz
Impacted Area
Wing spar
Amendment of Existing
Certification Basis
25-aaa
25-bbb
25-ccc
Amendment on
Application Date
25-ddd
25-eee
25-fff
* These would be structural certification specifications only. There could be other certification specifications applicable to
the wing box. But since the effect is structural, then only the structural certification specifications are applicable.
C.4
Combine the Lists.
C.4.1 EASA typically presents the certification basis for a product by certification specification and not
by area. The next step is to combine these two lists. However, since only a portion of the product
is being changed, the changed and affected areas of the new certification basis need to be
identified. The unchanged area is not required to comply with the certification specifications in
effect at the date of application. (See point 21.A.101(b)(2))
C.4.2 When the change is quite extensive, applicants will save time by listing all the certification
specifications applicable to the category of product they are certifying. They can use Table C-4
below in the next step where they will identify any other exceptions that they would like EASA
to consider.
C.4.3 Example. If we use the examples above for the combined list for the actuator structural changes
and the wing box functional change, then the certification basis would be listed as shown in
Table C-4 below.
Table C-4. Example of a Combined List of Physical and Functional Changes with Applicable Certification Specifications
Amendment Levels
Certification
Changed and Affected Area
Amendment
of
Existing
Amendment on
Specification
Certification Basis
Application Date
25.xxx*
25.yyy*
25.zzz*
25-aaa
25-bbb
25-ccc
25-ddd
25-eee
25-fff
-
Wing spar
-
Leading-edge actuator
-
Wing loads
* These represent structural certification specifications.
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Appendix D to GM 21.A.101 Other guidance for affected areas
ED Decision 2017/024/R
D.1
Sample Questions in Determining Affected Areas.
Below are sample questions to assist in determining whether an area is affected by the change.
If the answer to any of these questions is yes, then the area is considered to be affected.
D.2
1.
Is the area changed from the identified baseline product?
2.
Is the area impacted by a significant product-level change?
3.
Is there a functional effect on the unchanged area by a change to the system or system
function that it is a part of?
4.
Does the unchanged area need to comply with a system or product-level certification
specification that is part of the change?
5.
Are the product-level characteristics affected by the change?
6.
Is the existing compliance for the area invalidated?
Sub-Areas within an Affected Area.
Within areas affected by a change, there may be ‘sub-areas’ of the area that are not affected.
For those sub-areas, the amendment levels at the existing certification basis remain valid, along
with the previous compliance findings. For example, if a passenger seat fitting is changed as part
of a significant change, then the structure of the seat is affected. Thus, the amendment level
for CS 25.561 and CS 25.562, along with other applicable structural certification specifications,
would be at the amendment level on the date of application (unless an exception is granted).
However, the seat fabric is not affected, so the amendment level for CS 25.853 (flammability)
may remain at the existing certification basis, and a new compliance finding would not be
required.
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Appendix E to GM 21.A.101 Procedure for evaluating material
contribution to safety or impracticality of applying latest
certification specifications to a changed product
ED Decision 2019/018/R
E.1
Introduction.
E.1.1 The basic principle of enhancing the level of safety of changed aeronautical products is to apply
the latest certification specifications for significant changes to the greatest extent practical. In
certain cases, the cost of complying fully with a later certification specification may not be
commensurate with the small safety benefit achieved. These factors form the basis where
compliance with the latest standard may be considered impractical, thereby allowing
compliance with an earlier certification specification. This Appendix gives one method of
determining whether compliance with a later certification specification is impractical; however,
it does not preclude the use of other methods for improving the safety of aeronautical products.
E.1.2 EASA recognises that other procedures can be used and have historically been accepted on a
case-by-case basis. The acceptance of results through the use of these procedures may vary
from state to state. Consequently, they may not be accepted through all bilateral certification
processes. Regardless of which method is used, the process must show that a proposed
certification basis is able to achieve a positive safety benefit for the overall product.
E.1.3 Regarding impracticality, any method used must encourage the incorporation of safety
enhancements that will have the most dramatic impact on the level of safety of the aircraft
while considering the effective use of resources. This important point is illustrated graphically
in Figure E-1 below. This Figure notionally shows the interrelation between the total resources
required for incorporating each potential safety enhancement with the corresponding net
increase in safety benefit.
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Figure E-1. Safety Benefits versus Resources
E.1.4 Typically, it is found that, for impractical certification basis changes, there are proposals that
can achieve a positive safety benefit that are resource-effective. Conversely, there are proposals
that may achieve a small safety benefit at the expense of a large amount of resources to
implement them. Clearly, there will be a point where a large percentage of the potential safety
benefit can be achieved with a reasonable expenditure of resources. The focus of the methods
used should be to determine the most appropriate certification standards relative to the
respective incremental cost to reach this point.
E.1.5 This Appendix provides procedural guidance for determining the material contribution to the
level of safety, or the practicality of applying a certification standard at a particular amendment
level to a changed product. The procedure is generic in nature and describes the steps and
necessary inputs that may be used on any project to develop a position.
E.1.6 The procedure is intended to be used, along with good engineering judgment, to evaluate the
relative merits of a changed product complying with the latest certification standards. It
provides a means, but not the only means, for applicants to present their position regarding an
exception under point 21.A.101(b)(3).
E.1.7 The certification basis for a change to a product will not be at an amendment level earlier than
the existing certification basis.
E.2
Procedure for evaluating the material contribution or impracticality of applying the latest
certification specifications to a changed product.
The following are steps to determine the material contribution or impracticality of applying a
certification specification at a particular amendment level.
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E.2.1 Step 1: Identify the regulatory change being evaluated.
In this step, applicants should document:
E.2.1.1 The specific standard (e.g. CS 25.365),
E.2.1.2 The amendment level of the existing certification basis for the standards, and
E.2.1.3 The latest amendment level of the certification specification.
E.2.2 Step 2: Identify the specific hazard that the certification specification addresses.
E.2.2.1 Each certification specification and its subsequent amendments addresses a hazard or
hazards. In this step, the specific hazard(s) is (are) identified. This identification will allow
for a comparison of the effectiveness of the amendment levels of the certification
specification in addressing the hazard.
E.2.2.2 In many cases, the hazard and the cause of the hazard will be obvious. When the hazard
and its related cause are not immediately obvious, it may be necessary to review the
explanatory note (EN) and/or the impact assessment (IA) in the ED Decision by which the
certification specification or its amendment was adopted. It may also be helpful to discuss
the hazard with the responsible EASA team.
E.2.3 Step 3: Review the consequences of the hazard(s).
E.2.3.1 Once the hazard is identified, it is possible to identify the types of consequences that
may occur due to the hazard. More than one consequence can be attributed to the same
hazard. Typical examples of consequences would include but are not limited to:
— incidents where only injuries occurred,
— accidents where a total hull loss occurred,
— accidents where less than 10 per cent of the passengers died,
— accidents where 10 per cent or more passengers died, and
— engine- and propeller-specific hazards.
E.2.3.2 The explanatory note (EN) and/or the impact assessment (IA) in the ED Decision may
provide useful information regarding the consequences of the hazard that the
certification specification addresses.
E.2.4 Step 4: Identify the historical and predicted frequency of each consequence.
E.2.4.1 Another source for determining impracticality is the historical record of the
consequences of the hazard that led to a certification specification or an amendment to
a certification specification. From these data, a frequency of occurrence for the hazard
can be determined. It is important to recognise that the frequency of occurrence may be
higher or lower in the future. Therefore, it also is necessary to predict the frequency of
future occurrences.
E.2.4.2 More than one consequence can be attributed to the same hazard. Therefore, when
applicable, the combination of consequences and frequencies of those consequences
should be considered together.
E.2.4.3 The explanatory note (EN) and/or the impact assessment (IA) in the ED Decision may
provide useful information regarding the frequency of an occurrence.
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E.2.5 Step 5: Determine how effective full compliance with the latest amendment of the certification
specification would be in addressing the hazard.
E.2.5.1 When each amendment is issued, it is usually expected that compliance with the
certification specification would be completely effective in addressing the associated
hazard for the designs and technology envisioned at the time. It is expected that the
hazard would be eliminated, avoided, or mitigated. However, experience has shown that
this may not always be the case. It is also possible that earlier amendment levels may
have addressed the hazard but were not completely effective. A product may also contain
a design feature(s) that provides a level of safety that approaches that of the latest
certification specifications, yet is not fully compliant with the latest certification
specifications. Therefore, in comparing the benefits of compliance with the existing
certification basis to the latest amendment level, it is useful to estimate the effectiveness
of both amendment levels in dealing with the hazard.
E.2.5.2 It is recognised that the determination of levels of effectiveness is normally of a
subjective nature. Therefore, prudence should be exercised when making these
determinations. In all cases, it is necessary to document the assumptions and data that
support the determination.
E.2.5.3 The following five levels of effectiveness are provided as a guideline:
1.
Fully effective in all cases. Compliance with the certification specification
eliminates the hazard or provides a means to avoid the hazard completely.
2.
Considerable potential for eliminating or avoiding the hazard. Compliance with the
certification specification eliminates the hazard or provides a means to completely
avoid the hazard for all probable or likely cases, but it does not cover all situations
or scenarios.
3.
Adequately mitigates the hazard. Compliance with the certification specification
eliminates the hazard or provides a means to avoid the hazard completely in many
cases. However, the hazard is not eliminated or avoided in all probable or likely
cases. Usually this action only addresses a significant part of a larger or broader
hazard.
4.
Hazard only partly addressed. In some cases, compliance with the certification
specification partly eliminates the hazard or does not completely avoid the hazard.
The hazard is not eliminated or avoided in all probable or likely cases. Usually this
action only addresses part of a hazard.
5.
Hazard only partly addressed but action has a negative side effect. Compliance with
the certification specification does not eliminate or avoid the hazard or may have
negative safety side effects. The action is of questionable benefit.
E.2.5.4 If it is determined that compliance with the latest certification specifications does not
contribute materially to the product’s level of safety, applicants should skip Step 6 of this
Appendix and go directly to Step 7 to document the conclusion. If it is determined that
complying with the latest amendment of the certification specification contributes
materially to the product’s level of safety, applicants should continue to Step 6 of this
Appendix.
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E.2.6 Step 6: Determine the incremental resource costs and cost avoidance.
E.2.6.1 There is always cost associated with complying with a certification specification. This
cost may range from minimal administrative efforts to the resource expenditures that
support full-scale testing or the redesign of a large portion of an aircraft. However, there
are also potential cost savings from compliance with a certification specification. For
example, compliance with a certification specification may avoid aircraft damage or
accidents and the associated costs to the manufacturer for investigating accidents.
Compliance with the latest amendment of a certification specification may also help a
foreign authority to certify a product.
E.2.6.2 When determining the impracticality of applying a certification specification at the latest
amendment level, only the incremental costs and safety benefits from complying with
the existing certification basis should be considered.
E.2.6.3 When evaluating the incremental cost, it may be beneficial for applicants to compare
the increase in cost of complying with the latest certification specifications with the cost
of incorporating the same design feature in a new aircraft. In many cases, an estimate for
the cost of incorporation in a new aircraft is provided by EASA in the regulatory impact
assessment, which was presented when the corresponding certification specification was
first issued. Incremental costs of retrofit/incorporation on existing designs may be higher
than that for production. Examples of costs may include but are not limited to the
following:
Costs
The accuracies of fleet size projections, utilisation, etc., may be different from those
experienced for derived product designs and must be validated.
— Labour: work carried out in the design, fabrication, inspection, operation, or
maintenance of a product for the purpose of incorporating or demonstrating
compliance with a proposed action. Non-recurring labour certification specifications,
including training, for the applicant supporting development and production of the
product, should be considered.
— Capital: construction of new, modified, or temporary facilities for design, production,
tooling, training, or maintenance.
— Material: costs associated with product materials, product components, inventory,
kits, and spares.
— Operating costs: costs associated with fuel, oil, fees, training, and expendables.
— Revenue/utility loss: costs resulting from earning/usage capability reductions from
departure delays, product downtime, and performance loss due to seats, cargo,
range, or airport restrictions.
— The cost of changing compliance documentation and/or drawings in itself is not an
acceptable reason for an exception.
Cost Avoidance.
— Avoiding costs of accidents, including investigation of accidents, lawsuits, public
relations activities, insurance, and lost revenue.
— Foreign certification: conducting a single effort that would demonstrate compliance
with the certification specifications of most certifying authorities, thus minimising
certification costs.
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E.2.7 Step 7: Document the conclusion.
With the information from the previous steps documented and reviewed, the applicant’s
position and rationale regarding whether complying with the latest certification specifications
contributes materially to the product’s level of safety or its practicality can be documented.
EASA records the determination of whether the conditions for the proposed exception were
met. That determination is based on the information and analysis provided by the applicant in
the preceding steps. If the determination to grant the exception is based on the product’s design
features, those features are documented at a high level in the TCDS. Documentation in the TCDS
is required so that the features are maintained during subsequent changes to the product,
therefore, maintaining the product’s agreed level of safety. If the results of this analysis are
inconclusive, then further discussions with EASA are warranted.
E.3
Examples of how to certify changed aircraft.
The following examples illustrate the typical process an applicant follows. The process will be
the same for all product types.
E.3.1 Example 1: FAR § 25.963, Fuel Tank Access Covers.
NOTE: This example is taken from the FAA’s certification experience, so references to FAR
sections and amendments are kept.
This example is part of a significant change to a transport aeroplane that increases the
passenger payload and gross weight by extending the fuselage by 20 feet (6.1 metres). To
accommodate the higher design weights and increased braking requirements and to reduce the
runway loading, the applicant will change the landing gear from a two-wheel to four-wheel
configuration; this changes the debris scatter on the wing from the landing gear. EASA will
require the new model of the aeroplane to comply with the latest applicable certification
specifications based on the date of application.
The wing will be strengthened locally at the side of the body and at the attachment points of
the engines and the landing gear, but the applicant would not like to alter the wing access panels
and the fuel tank access covers. Although the applicant recognises that the scatter pattern and
impact loading on the wing from debris thrown from the landing gear will change, the applicant
proposes that it would be impractical to redesign the fuel tank access covers.
Note: Points 21.B.107(a)(3) or 21.B.111(a)(3) may be an additional reason why EASA would
require compliance with CS 25.963(e), regardless of the ‘significant’ determination.
E.3.1.1 Step 1: Identify the regulatory change being evaluated.
The existing certification basis of the aeroplane that is being changed is Part 25 prior to
Amendment 25-69. Amendment 25-69 added the requirement that fuel tank access
covers on transport category aeroplanes be designed to minimise penetration by likely
foreign objects, and that they be fire-resistant.
E.3.1.2 Step 2: Identify the specific hazard that the certification specification addresses.
Fuel tank access covers have failed in service due to impact with high-energy objects,
such as failed tire tread material and engine debris following engine failures. In one
accident, debris from the runway impacted a fuel tank access cover, causing its failure
and subsequent fire, which resulted in fatalities and loss of the aeroplane. Amendment
25-69 will ensure that all access covers on all fuel tanks are designed or located to
minimise penetration by likely foreign objects, and that they are fire-resistant.
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E.3.1.3 Step 3: Review the history of the consequences of the hazard(s).
There have been occurrences with injuries and with more than 10 per cent deaths.
E.3.1.4 Step 4: Identify the historical and predicted frequency of each consequence.
In 200 million departures of large jets, there was:
— 1 occurrence with more than 10 per cent deaths, and
— 1 occurrence with injuries.
There is no reason to believe that the future rate of accidents will be significantly different
from the historical record.
E.3.1.5 Step 5: Determine how effective full compliance with the latest amendment of the
certification specifications would be in addressing the hazard.
There is considerable potential for eliminating or avoiding the hazard. Compliance with
Amendment 25-69 eliminates the hazard or provides a means to avoid the hazard
completely for all probable or likely cases. However, it does not cover all situations or
scenarios.
E.3.1.6 Step 6: Determine resource costs and cost avoidance.
Costs.
— For a newly developed aeroplane, there would be minor increases in labour resulting
from design and fabrication of new fuel tank access covers.
— There would be a negligible increase in costs related to materials, operating costs,
and revenue utility loss.
Cost avoidance.
— There were 2 accidents in 200 million departures. The applicant believes that it will
manufacture more than 2 000 of these aeroplanes. These aeroplanes would average
5 flights a day. Therefore, statistically there will be accidents in the future if the
hazard is not alleviated. Compliance will provide cost benefits related to avoiding
lawsuits, accident investigations, and public relations costs.
— There are cost savings associated with meeting a single certification basis for EASA’s
and foreign standards.
E.3.1.7 Step 7: Document the conclusion.
It is concluded that compliance with the latest certification specification increases the
level of safety at a minimal cost to the applicant. Based on the arguments and information
presented by the applicant through the certification review item (CRI) process, EASA
determined that meeting the latest amendment would be practical. EASA has also found
that fuel tank access covers that are not impact-resistant and fire-resistant, and which
are located where a strike is likely, are unsafe features or characteristics which preclude
the issue of a type certificate under 21.B.107(a)(3).
E.3.2 Example 2: FAR § 25.365, Pressurized Compartment Loads.
NOTE: This example is taken from the FAA’s certification experience, so references to FAR
sections and amendments are kept.
This example is a passenger-to-freighter conversion STC. This change affects the floor loads on
the aeroplane as well as the decompression venting.
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E.3.2.1 Step 1: Identify the regulatory change being evaluated.
The existing certification basis of the aeroplane that is being changed includes § 25.365
at Amendment 25-00. The initial release of § 25.365 required the interior structure of
passenger compartments to be designed to withstand the effects of a sudden release of
pressure through an opening resulting from the failure or penetration of an external door,
window, or windshield panel, or from structural fatigue or penetration of the fuselage,
unless shown to be extremely remote.
Amendment 25-54 revised § 25.365 to require the interior structure to be designed for
an opening resulting from penetration by a portion of an engine, an opening in any
compartment of a size defined by § 25.365(e)(2), or the maximum opening caused by a
failure that was not shown to be extremely improbable. The most significant change is
the ‘formula hole size’ requirement introduced into § 25.365(e)(2) at Amendment 25-54.
Amendment 25-71/72 (Amendments 25-71 and 25-72 are identical) extended the
regulation to all pressurised compartments, not just passenger compartments, and to the
pressurisation of unpressurised areas. Pressurisation of unpressurised areas had
previously been identified as an unsafe feature under § 21.B.111(a)(3).
Amendment 25-87 redefined the pressure differential load factor that applies above an
altitude of 45 000 feet. Compliance with Amendment 25-87 is not affected since the
aeroplane does not operate above an altitude of 45 000 feet. The applicant proposes to
meet the ‘pressurisation into unpressurised areas’ requirement introduced in
Amendment 25-71/72. The applicant does not propose to comply with the ‘formula hole
size’ requirement introduced in § 25.365(e)(2) at Amendment 25-54.
E.3.2.2 Step 2: Identify the specific hazard that the certification specification addresses.
The hazard is a catastrophic structure and/or system failure produced by a sudden
release of pressure through an opening in any compartment in flight. This opening could
be caused by an uncontained engine failure, an opening of a prescribed size due to the
inadvertent opening of an external door in flight, or an opening caused by a failure not
shown to be extremely improbable. The opening could be caused by an event that has
yet to be identified.
E.3.2.3 Step 3: Review the history of the consequences of the hazard(s).
There have been occurrences with injuries, with less than 10 per cent deaths and with
more than 10 per cent deaths.
E.3.2.4 Step 4: Identify the historical and predicted frequency of each consequence.
In 200 million departures of large jets, there were:
— 2 occurrences with more than 10 per cent deaths,
— 1 occurrence with less than 10 per cent deaths, and
— 1 occurrence with injuries.
There is no reason to believe that the future rate of accidents will be significantly different
from the historical record.
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E.3.2.5 Step 5: Determine how effective full compliance with the latest amendment of the
certification specifications would be at addressing the hazard.
Compliance with the latest amendment eliminates the hazard or provides a means to
avoid the hazard completely.
Design changes made to the proposed aeroplane bring it closer to full compliance with
§ 25.365 at Amendment 25-54. The original aeroplane was shown to meet the
requirements for a hole size of 1.1 square feet. Amendment 25-54 would require a hole
size of 5.74 square feet, and the current reinforcements for the converted aeroplane can
sustain a hole size of 3.65 square feet in the forward area and 2.65 square feet at the aft
area. This is 3.1 and 2.4 times, respectively, better than the original design condition of
Amendment 25-0 and is a significant improvement over the worldwide passenger fleet in
service.
E.3.2.6 Step 6: Determine resource costs and cost avoidance.
Costs.
There would be savings in both labour and capital costs if compliance were shown to
Amendment 25-0 instead of Amendment 25-54. Major modifications to the floor beams
would be necessary to meet the ‘formula hole size’ requirement in Amendment 25-54.
Cost avoidance.
There were 4 accidents in 200 million departures. The applicant believes that it will
manufacture more than 2 000 of these aeroplanes. These aeroplanes would average 2
flights a day. Therefore, statistically there will be accidents in the future if the hazard is
not alleviated. Compliance will provide cost benefits related to avoiding lawsuits,
accident investigations, and public relations costs.
There are cost savings associated with meeting a single certification basis for FAA and
foreign regulations.
E.3.2.7 Step 7: Document the conclusion regarding practicality.
The design complies with § 25.365 at Amendments 25-0, 25-71/72, and 25-87, and it is
nearly in full compliance with Amendment 25-54. The design would adequately address
the hazard at an acceptable cost. Therefore, based on arguments of impracticality
discussed in an issue paper, the FAA accepts the applicant’s proposal to comply with
§ 25.365 at Amendment 25-0.
E.3.3 Example 3: FAR § 25.981, Fuel Tank Ignition Prevention.
NOTE: This example is taken from the FAA’s certification experience, so references to FAR
sections and amendments are kept.
This example is part of a significant change to a transport aeroplane that increases passenger
payload and gross weight by extending the fuselage by 20 feet (6.1 metres). To accommodate
the longer fuselage, the applicant will modify systems wiring installations; this includes changing
fuel tank system wiring. The new model of the aeroplane will be required to comply with the
latest applicable certification specifications based on the date of application.
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E.3.3.1 Step 1: Identify the regulatory change being evaluated.
The existing certification basis of the aeroplane that is being changed is Part 25 prior to
Amendment 25-102 but includes Amendment 25-40.
Note: If the original certification basis does not include Amendment 25-40, the
certification basis should be considered not adequate for fuel tank ignition prevention.
The 2001 Fuel Tank Safety (FTS) rule adopted Amendment 25-102 to add explicit
requirements in § 25.981(a)(3) for demonstrating that the design precludes fuel tank
ignition sources. This was required, but had in several cases not been properly applied in
demonstrating compliance with §§ 25.901 and 25.1309. Amendment 25-102, § 25.981(b),
added a requirement to develop fuel tank system airworthiness limitations to maintain
the ignition prevention features of the design. Section H25.4, Amendment 25-102,
requires the inclusion of those fuel tank system airworthiness limitations in the
Airworthiness Limitations section of the Instructions for Continued Airworthiness (ICA).
Since the FAA policy for performing the failure analysis to demonstrate compliance with
§§ 25.901 and 25.1309 at Amendment 25-40 and 25-46 was adopted in the explicit fuel
tank ignition prevention failure analysis requirements of § 25.981(a)(3), the incremental
requirement for demonstrating compliance with the ignition prevention requirements of
Amendment 25-102 is to develop and implement the fuel tank system airworthiness
limitations instead of developing Certification Maintenance Requirements in accordance
with § 25.901(b)(2) at Amendments 25-40 through 25-46 and AC 25-19A.
E.3.3.2 Step 2: Identify the specific hazard that the certification specification addresses.
The FAA issued the 2001 FTS rule to preclude fuel tank ignition sources because of a
history of fuel tank explosions. The catastrophic TWA Flight 800 in-flight fuel tank
explosion on July 17, 1996, caused the death of all 230 people on board.
E.3.3.3 Step 3: Review the history of the consequences of the hazard(s).
There have been occurrences with injuries, with more than 10 per cent deaths, less than
10 per cent deaths, and no deaths.
E.3.3.4 Step 4: Identify the historical and predicted frequency of each consequence.
The 1998 Aviation Rulemaking Advisory Committee Fuel Tank Harmonisation Working
Group report documented the number of historical fuel tank explosions as 16, which
caused a total of 539 fatalities.
There have been 2 additional fuel tank explosions since that report was issued:
— March 3, 2001: Thai Airways International Flight 114 experienced a fuel tank
explosion on the ground that caused 1 fatality and 3 serious injuries. The explosion
and subsequent fire destroyed the aeroplane.
— May 4, 2006: A Malaysia Airlines Boeing 727 experienced a wing tank low pressure
explosion during ground operations. There was no fire and no injuries. The wing
structure suffered significant damage.
There is no reason to believe that the future rate of accidents will be significantly different
from the historical record if fuel tank system airworthiness limitations are not included
in the ICA as is permitted in earlier amendment levels.
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E.3.3.5 Step 5: Determine how effective full compliance with the latest amendment of the
certification specifications would be at addressing the hazard.
There is considerable potential for eliminating or avoiding the hazard.
In the 2008 Fuel Tank Flammability Reduction (FTFR) rule, the FAA estimated that
compliance with the ignition prevention requirements of Amendment 25-102, together
with the fuel tank ignition prevention airworthiness directives issued as a result of the
Special Federal Aviation Regulation number 88 reviews, resulted in the range of
effectiveness in preventing fuel tank explosions between 25 to 75 per cent with a median
value of 50 per cent (73 FR 42449).
E.3.3.6 Step 6: Determine resource costs and cost avoidance.
Costs.
— For newly developed designs, there would be minor increases in costs resulting from
the identification and implementation of fuel tank system airworthiness limitations.
— There would be no increase in costs related to materials, operating costs, and
revenue utility loss.
Cost avoidance.
There were 18 accidents in 200 million departures. The applicant believes that it will
manufacture more than 2 000 of these aeroplanes or derivatives of these aeroplanes.
These aeroplanes would average 5 flights a day. Therefore, statistically there will be
accidents in the future if the hazard is not alleviated. Compliance will provide cost
benefits related to avoiding fatalities and injuries.
E.3.3.7 Step 7: Document the conclusion.
It is concluded that compliance with the latest certification specification increases the
level of safety at a minimal cost to the applicant. Based on the arguments and information
presented by the applicant through the issue paper process, the FAA determined that
meeting the latest amendment would be practical.
The following is additional background on the specific hazard that the certification
specification addresses:
As stated in the 2001 FTS rule under ‘Changes to Part 25’, § 25.981(a)(3) was adopted
because the previous regulations (§§ 25.901 and 25.1309) were not always properly
applied.
Section 25.901(b)(2), Amendments 25-40 through 46, requires in part preventative
maintenance as necessary to ensure that components of the powerplant installation,
which includes the fuel tank system, will safely perform their intended function between
inspections and overhauls defined in the maintenance instructions. When demonstrating
compliance with the requirements of § 25.901(b) for maintenance of fuel tank ignition
prevention features, the policy has been that the applicant identify critical features as
critical maintenance requirements using the guidance in AC 25-19A.
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Appendix F to GM 21.A.101 The use of service experience in the
exception process
ED Decision 2017/024/R
F.1
Introduction.
Service experience may support the application of an earlier certification specification pursuant
to point 21.A.101(b)(3) if, in conjunction with the applicable service experience and other
compliance measures, the earlier certification specification provides a level of safety
comparable to that provided by the latest certification specification. The applicant must provide
sufficient substantiation to allow EASA to make this determination. A statistical approach may
be used, subject to the availability and relevance of data, but sound engineering judgment must
be used. For service history to be acceptable, the data must be both sufficient and pertinent.
The essentials of the process involve:
— A clear understanding of the certification specification change and the purpose for the
change,
— A determination based on detailed knowledge of the proposed design feature,
— The availability of pertinent and sufficient service experience data, and
— A comprehensive review of that service experience data.
F.2
Guidelines.
The CRI process (either as a stand-alone CRI or included in the CRI A-01) would be used, and the
applicant should provide documentation to support the following:
F.2.1 The identification of the differences between the certification specification in the existing basis
and the certification specification as amended, and the effect of the change to the specification.
F.2.2 A description as to what aspect(s) of the latest certification specifications the proposed changed
product would not meet.
F.2.3 Evidence showing that the proposed certification basis for the changed product, together with
applicable service experience, relative to the hazard, provides a level of safety that approaches
the latest certification specification, yet is not fully compliant with the latest certification
specifications.
F.2.4 A description of the design feature and its intended function.
F.2.5 Data for the product pertinent to the requirement.
F.2.5.1 Service experience from such data sources, such as:
— Accident reports,
— Incident reports,
— Service bulletins,
— Airworthiness directives,
— Repairs,
— Modifications,
— Flight hours/cycles for fleet leader and total fleet,
— World airline accident summary data,
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— Service difficulty reports,
— Accident Investigation Board reports, and
— Warranty, repair, and parts usage data.
F.2.5.2 Show that the data presented represent all relevant service experience for the product,
including the results of any operator surveys, and is comprehensive enough to be
representative.
F.2.5.3 Show that the service experience is relevant to the hazard.
F.2.5.4 Identification and evaluation of each of the main areas of concern with regard to:
— Recurring and/or common failure modes,
— Cause,
— Probability by qualitative reasoning, and
— Measures already taken and their effects.
F.2.5.5 Relevant data pertaining to aircraft of similar design and construction may be included.
F.2.5.6 Evaluation of failure modes and consequences through analytical processes. The
analytical processes should be supported by:
— A review of previous test results,
— Additional detailed testing as required, or
— A review of aircraft functional hazard assessments (FHA) and any applicable system
safety assessments (SSA) as required.
F.2.6 A conclusion that draws together the data and the rationale.
F.2.7 These guidelines are not intended to be limiting, either in setting the required minimum
elements or in precluding alternative forms of submission. Each case may be different, based
on the particulars of the system being examined and the requirement to be addressed.
F.3
Example: 25.1141(f) for Transport Category Aeroplanes.
NOTE: This example is taken from the FAA’s certification experience, so references to FAR
sections and amendments are kept.
F.3.1 The following example, for transport category aeroplanes (§ 25.1141(f), APU Fuel Valve Position
Indication System), illustrates the typical process an applicant follows. The process will be the
same for all product types.
F.3.2 This example comes from a derived model transport aeroplane where significant changes were
made to the main airframe components, engines and systems, and APU. The baseline aeroplane
has an extensive service history. The example shows how the use of service experience supports
a finding that compliance with the latest certification specifications would not contribute
materially to the level of safety and that application of the existing certification basis (or earlier
amendment) would be appropriate. The example is for significant derived models of transport
aeroplanes with extensive service history. It illustrates the process, following the guidelines in
this Appendix, but does not include the level of detail normally required.
F.3.2.1 Determine the differences between the certification specifications applied in the original
certification basis and the latest certification specification, and the effect of the change
to the certification specifications. The original certification basis of the aeroplane that is
being changed is the initial release of Part 25. Amendment 25-40 added requirement §
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25.1141(f), which mandates that power-assisted valves must have a means to indicate to
the flight crew when the valve is in the fully open or closed position, or is moving between
these positions. The addressed hazard would be risk of APU fire due to fuel accumulation
caused by excessive unsuccessful APU start attempts.
F.3.2.2 What aspect of the proposed changed product would not meet the latest certification
specifications? The proposed APU fuel valve position indication system does not provide
the flight crew with fuel valve position or transition indication and, therefore, does not
comply with the requirements of § 25.1141(f).
F.3.2.3 The applicant provides evidence that the proposed certification basis for the changed
product, together with applicable service experience of the existing design, provide a
level of safety that approaches, yet is not fully compliant with, the latest certification
specifications. The APU fuel shut-off valve and actuator are unchanged from those used
on the current family of aeroplanes, and have been found to comply with the earlier
Amendment 25-11 of § 25.1141. The existing fleet has achieved approximately (#) flights
during which service experience of the existing design has been found to be acceptable.
If one assumes a complete APU cycle, i.e. start-up and shutdown for each flight, the
number of APU fuel shut-off valve operations would be over 108 cycles, which
demonstrates that the valve successfully meets its intended function and complies with
the intent of the certification specification.
F.3.2.4 The applicant provides a description of the design feature and its intended function. The
fuel shut-off valve, actuator design, and operation is essentially unchanged with the
system design ensuring that the valve is monitored for proper cycling from closed to open
at start. If the valve is not in the appropriate position (i.e. closed), then the APU start is
terminated, an indication is displayed on the flight deck, and any further APU starts are
prevented. Design improvements using the capability of the APU electronic control unit
(ECU) have been incorporated in this proposed product change. These design changes
ensure that the fuel valve indication system will indicate failure of proper valve operation
to the flight crew, and these features increase the level of functionality and safety, but
the system does not indicate valve position as required by § 25.1141(f).
F.3.2.5 The FAA and the applicant record this in an issue paper. The FAA can use the G-1 or a
technical issue paper for this purpose. An issue paper was coordinated, included data, or
referenced reports documenting relevant service experience compiled from incident
reports, fleet flight hour/cycle data, and maintenance records. The issue paper also
discussed existing and proposed design details, failure modes, and analyses showing to
what extent the proposed aeroplane complies with the latest amendment of § 25.1141.
Information is presented to support the applicant’s argument that compliance with the
latest amendment would not materially increase the level of safety. Comparative data
pertaining to aircraft of similar design and construction are also presented.
F.3.2.6 The conclusion, drawing together the data and rationale, is documented in the G-1 issue
paper. The additional features incorporated in the APU fuel shut-off valve will provide a
significant increase in safety to an existing design with satisfactory service experience.
The applicant proposes that compliance with the latest amendment would not materially
increase the level of safety and that compliance with § 25.1141 at Amendment 25-11
would provide an acceptable level of safety for the proposed product change.
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Appendix G to GM 21.A.101 Changed product rule (CPR) decision
record
ED Decision 2017/024/R
CHANGED PRODUCT RULE (CPR) DECISION RECORD
TC/STC No: Click here to enter text.
Project Number: Click here to enter text.
Step 1: Identify the proposed type design
changes to the aeronautical product.
(See paragraph 3.2 of GM 21.A.101)
The proposed type design changes are identified here or in the following
document(s):
Click here to enter text.
Note: The CRI process is used to track/document the decisions at Step 2 and Steps 5 through 8 as required.
Step 2: Is the proposed type design
☐ Yes New Type Certificate: Proceed to point 21.A.19. Point 21.A.101 does not apply.
change substantial?
A Certification Review Item CRI A-01 will be used to establish and document the
(See paragraph 3.3 of GM 21.A.101)
certification basis.
Step 3: Will you use the latest standards?
(See paragraph 3.4 of GM 21.A.101)
☐ No
Proceed to Step 3.
☐ Yes
Latest Standards: Propose a certification basis using the CSs in effect at the date
of application. Proceed to Step 8.
☐ No
Proceed to Step 4.
Step 4: Arrange changes into related and
unrelated groups.
(See paragraph 3.5 of GM 21.A.101)
Note: For multiple groupings, continuation of this process should be split into separate
decision records. Groupings may be rationalised and recorded in separate documents:
Click here to enter text.
Step 5: Is each related or unrelated
group a significant change?
(See paragraph 3.6 of GM 21.A.101)
☐ Yes
Proceed to Step 6.
☐ No
Earlier Standards: Propose a certification basis using the CSs in effect before the
date of application but not earlier than the existing certification basis.
Certification basis to be defined and documented as indicated (below).
Proceed to Step 8.
Step 6: Prepare your Certification Basis
List. (See paragraph 3.9 of GM 21.A.101)
Affected Areas:
Not Affected Areas:
The Affected Area(s) is (are) detailed here or in the following Certification Basis List
document number(s): Click here to enter text.
Process and propose each applicable certification specification individually. Proceed to
Step 7.
Existing Standards: You may continue using the existing certification basis.
Step 7: Do the latest standards
contribute materially to the level of
safety and are they practical?
(See paragraph 3.10 of GM 21.A.101)
☐ Yes
Latest Standards: Propose a certification basis using the CSs in effect on the date
of application.
☐ No
Earlier Standards: You may propose a certification basis using the CSs in effect
before the date of application but not earlier than the existing certification basis.
Certification basis defined or documented as indicated below.
☐ Continuation Sheet(s) Attached
Note: Several CSs may apply to each affected area, and the assessment may differ from
specifications to specifications. Indicate ‘Yes’ if compliance with any latest standard(s) is
required. Indicate ‘No’ only if earlier standard(s) is (are) proposed.
You may submit a proposal for the decision in Step 7; however, EASA will make the final
certification basis determination.
If you deem that the certification basis is adequate, submit the proposed certification basis
to EASA.
If not, consult EASA. CRI A-01 may be needed to document the certification basis.
The certification basis is detailed here or in the following document(s):
Click here to enter text.
Note:
Step 8: Ensure the proposed certification
basis is adequate.
(See paragraph 3.11 of GM 21.A.101)
Certification Basis:
Based on the information provided above, I am proposing the certification basis with the following classification for the type design
change. (check one)
☐ Significant, pursuant to point 21.A.101.
☐ Not significant, pursuant to point 21.A.101.
Click here to enter text.
Printed Name/Title
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Click here to enter text.
Signature
Date
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Appendix H to GM 21.A.101 Examples of documenting the
proposed certification basis list
ED Decision 2017/024/R
H.1
Example 1.
H.1.1 This optional tool may be used to establish the applicable airworthiness and OSD certification
specifications that will become part of the type-certification basis for airworthiness or OSD
certification basis. For a significant change, the applicant must demonstrate compliance for the
change and the area affected by the change with the certification specifications that were in
effect at the date of application. However, in some cases earlier or later certification
specifications can be used, as allowed in point 21.A.101.
H.1.2 In order to efficiently determine and agree upon a certification basis with EASA, the following
information is useful to understand the applicant’s position:
H.1.2.1 The scope of the change. This includes a high-level description of the physical and
functional changes and performance/functional characteristics, which are changed as a
result of the physical or functional change, and the certification specifications for which
compliance demonstration is required as a result of the change.
H.1.2.2 The amendment level of all the applicable certification specifications at the date of
application.
H.1.2.3 The proposed certification basis, including amendment levels.
H.1.2.4 Applicants who propose a certification basis that includes amendment levels earlier
than what was in effect at the date of application should include the exception as outlined
in point 21.A.101 and their justification if needed.
H.1.3 Exceptions.
H.1.3.1 Unrelated changes that are not significant (point 21.A.101(b)(1)).
H.1.3.2 Not affected by the change (point 21.A.101(b)(2)).
H.1.3.3 Compliance with the certification specification would not contribute materially to the
level of safety (point 21.A.101(b)(3)).
H.1.3.4 Compliance with the certification specification would be impractical (point
21.A.101(b)(3)).
H.1.4 One easy way to document the proposed certification basis is using a tabular form as shown in
Table below.
Table H-1. Tabular Form for Documenting a Proposed Certification Basis
CS
Amendment Levels
Applicant
Justification
for
Amendment
Proposed
Existing TCDS
Lower
Amendment
at Date of
Amendment
Amendment
Level and Comments
Application
Level
Subpart A — General
Affected Area
Subpart B — Flight
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H.1.5 Best Practices.
H.1.5.1 Account for all certification specifications, even if they are not applicable.
H.1.5.2 Mark certification specifications that are not applicable as ‘N/A’.
H.1.5.3 If more than one amendment level is used depending on the area of the product, list all
areas and amendment levels at each area with proper justification.
H.1.5.4 If the justification is long, provide the justification below the table and only place the
certification specification reference and note in the comment field.
H.1.5.5 Include airworthiness and OSD standards required by other EU regulations (e.g. Part-26)
of affected areas.
H.2
Example 2.
Pages 129 through 135 of this Appendix contain another example for documenting a proposed
certification basis.
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TITLE OF DESIGN CHANGE
Product Name or Change to Type Certificate [XXXX]
Proposed Certification Basis Pursuant to point 21.A.101
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1.
INTRODUCTION.
1.1
REFERENCE DOCUMENTS.
Reference
[1] Point 21.A.101
[2] GM 21.A.101-1B
[3] XXXX
[4] Type Certificate YYYY
[5] Document ZZZZ
[6]
Annex I
SECTION A — TECHNICAL
REQUIREMENTS
Title
Designation of applicable certification specifications and
environmental protection requirements
Establishing the Certification Basis of Changed Aeronautical Products
Application letter
Product type-certification basis
Certification plan
<The above-referenced documents are examples. Each applicant should reference documents
appropriate to their products and procedures.>
1.2
ACRONYMS.
Acronym
AFM
AMC
CRI
ELOS
ESF
GM
MOC
SC
TC
Meaning
Aircraft Flight Manual
Acceptable Means of Compliance
Certification Review Item
Equivalent Level of Safety
Equivalent Safety Finding
Guidance Material
Means of Compliance
Special Condition
Type Certificate
<This section constitutes a representative list of acronyms. Each applicant should provide an
acronym list appropriate for their product and document.>
1.3
PURPOSE OF THE DOCUMENT.
The purpose of this document is to propose the certification basis applicable to [Product Design
Change] in accordance with point 21.A.101.
<Note that this optional document is intended to be used for changes to type-certified products
for which the change or a portion of the change is significant at the product level pursuant to
21.A.101. Not significant changes being accomplished concurrently with significant changes(s)
would also be identified in this document.>
2.
DESIGN DEFINITION.
2.1
BASELINE PRODUCT.
The type design to be changed, which is also known as the ‘baseline product,’ is the Model
Series___ (this should be a specific product configuration, such as a specific serial number or
line number).
The reference product certification basis is TCDS No. [XXXX], issued on [DATE].
2.2
DESIGN CHANGE AND BASELINE PRODUCT COMPARISON SUMMARY.
<Example table where the product is an aeroplane. This is a representative set of data that may
be provided by the applicant.>
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Specification
Max Taxi Weight — MTW (lb)
Max Take-off Weight — MTOW (lb)
Max Landing Weight — MLW (lb)
Max Zero Fuel Weight — MZFW (lb)
Max Length (ft, in)
Max Height (ft, in)
Wing Span (ft, in)
Horizontal Tail Span (ft, in)
Fuel Capacity (gal)
Total Cargo Volume (ft3)
Max Passenger Limit — one class seating (occupants)
Engine Types
Maximum Engine Thrust
2.3
Annex I
SECTION A — TECHNICAL
REQUIREMENTS
Model Series X
A1
B1
C1
D1
E1
F1
G1
H1
I1
J1
K1
L1 & M1
T1
Model Series Y
A2
B2
C2
D2
E2
F2
G2
H2
I2
J2
K2
L2
T2
DESCRIPTION OF DESIGN CHANGE, GROUPING AND CLASSIFICATION.
2.3.1 SIGNIFICANT CHANGE(S).
<Describe here the stand-alone change(s) and/or change grouping(s) that are part of the
proposed changed product and are proposed as significant. Include with each stand-alone
change or change grouping the relevant accumulated change(s) and the applicable
physical and/or functional effects. Note, the description should be detailed enough to
identify why the change or change grouping is proposed as significant.>
The following group of changes is proposed as significant based on [GM 21.A.101-1,
Appendix A, ‘[Description of Change in Appendix A]] or [the general configuration is not
retained, principles of construction are not retained, or assumptions for certification of
the product to be changed do not remain valid].
Changes Related to [Title of Significant Change X]:
[Title of High-Level Change C1]
The areas of physical change are:
— [design change xx]
— [design change yy]
— [design change zz]
The areas unchanged but affected by the change are:
— [affected area aaa]
— [affected area bbb]
— [affected area ccc]
[Title of High-Level Change C2]
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2.3.2 UNRELATED NOT-SIGNIFICANT CHANGES.
<Describe here the not significant stand-alone changes or change groupings that are part
of the modification but are unrelated to any of the significant changes described in
paragraph 2.3.1.>
[Title of High-Level Change D1]. [Description].
<The description must be just detailed enough to serve its purpose, which is to identify
why each of those changes is not significant and unrelated.>
[Title of High-Level Change D2]. [Description]…
3.
IDENTIFICATION OF APPLICABLE CERTIFICATION STANDARDS.
3.1
PROPOSED CERTIFICATION BASIS.
Based on the effective application date, [date], under the provisions of 21.A.101, the applicable
certification standards for the [Title of Design Change] are proposed as follows. The proposed
certification basis includes exceptions to earlier amendments (reversions), deviations, special
conditions, and equivalent (level of) safety findings.
3.1.1 Certification specifications effective at the date of application.
Applicable certification specifications in effect on the date of the application are:
<List the applicable parts and amendment levels here.>
Example for large aeroplanes:
A.
Airworthiness:
— CS-25,
— CS-AWO.
B.
Operational Suitability Data:
— CS-CCD,
— CS-FCD,
— CS-MCSD (to be published),
— CS-MMEL,
— CS-SIMD.
C.
Environmental Protection:
— CS-34,
— CS-36.
3.1.2 Point 21.A.101 exception rationale.
The completed rationale for each does not contribute materially to the level of safety
(DCMLS) or impracticality exception is provided in this section.
Exception 1: …
Exception 2:…
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REQUIREMENTS
3.1.3 Optional certification standards
Applicable certification specifications in effect on the date of the application are:
<List the applicable parts and amendment levels here.>
Example for large aeroplanes:
— CS 25.803, Emergency evacuation, Amendment 12,
— CS 25.1810, Emergency egress assisting means and escape routes, Amendment 17.
3.1.4 Design-related requirements from other aviation domains.
Applicable certification specifications in effect on the date of the application are:
<List the applicable parts and amendment levels here.>
Example for large aeroplanes:
— CS-ACNS Communications, Navigation and Surveillance
— Initial Issue, dated 17 December 2013, Subpart D Sections 2/3,
— CS-26.
3.1.5 Proposed Special Conditions.
Special Condition
(or TBD)
Effective Date
(or TBD)
Title
3.1.6 Equivalent Safety Findings.
ELOS Memo No
(or TBD)
Title
Applicable Standard
3.1.7 Deviations.
Deviation No
(or TBD)
Title
Applicable Standard
Date Issued
(or TBD)
Title
Applicable Standard
Date Issued
(or TBD)
3.1.8 Elect to comply
Elect to Comply No
(or TBD)
Proposed Certification Basis
The certification basis is a complete extract from the applicable FAA 14 CFR part [A] and it references
the certification basis [B]. Column [C] identifies the amendment level for the specific requirement on
the date of application. The changed product’s certification basis is proposed in last column [D].
References to FAR sections and amendments are kept.
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Example for a Part 25 aeroplane:
[A]
Requirement
25.25
Title
(or
subparagraph)
[B]
Existing
Certification
Basis
Amendment
Level
[C]
Amendment
Level on
Application
Date
[D]
Proposed
Amendment
for Changed
Product
Applicable
Area
25-63
Product
Notes
Weight limits
25-23
25-63
Propeller speed and pitch limits
25.33
N/A
25-72
N/A
—
Not
applicable to
Changed
Product
(Jet Aircraft)
Equipment, systems, and installations
25-41
15-123
25-123
25.1309(a)
25-41
25-123
25-41
25-124
N/A
Changed
and
Affected
Areas
Exception
— Not
Affected
See example
1 in section
3.1.2
Function and installation: EWIS
25.1703
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N/A
Exception
— Product
See example
2 in section
3.2.1
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REQUIREMENTS
Appendix I to GM 21.A.101 Related documents
ED Decision 2019/018/R
I.1
Related Part 21 requirements.
— 21.A.15, Application
— 21.B.70, Certification specifications
— 21.B.75, Special conditions
— 21.B.80, Type-certification basis for a type-certificate or restricted type-certificate
— 21.B.82, Operational suitability data certification basis for an aircraft type certificate or
restricted type-certificate
— 21.A.19, Changes requiring a new type certificate
— 21.B.103, Issuance of a type-certificate or restricted type-certificate
— 21.A.31, Type design
— 21.A.41, Type certificate
— 21.A.91, Classification of changes to a type certificate
— 21.A.93, Application
— 21.A.97, Requirements for approval of a major change
— 21.A.101, Type-certification basis, operational suitability data certification basis and
environmental protection requirements for a major change to a type-certificate
— 21.B.107, Issuance of an approval of a change to a type-certificate
— 21.A.113, Application for a supplemental type-certificate
— 21.A.115, Requirements for approval of major changes in the form of a supplemental
type-certificate
— 21.B.111, Issuance of a supplemental type-certificate
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REQUIREMENTS
Appendix J to GM 21.A.101 Definitions and terminology
ED Decision 2019/018/R
J.1
Aeronautical product.
The terms ‘aeronautical product’ or ‘product’ used in this guidance material include typecertified aircraft, engines, or propellers and, for the purpose of this GM, an ETSOA’d APU.
J.2
Assumptions used for certification.
The assumptions used for certification are the evaluations and decisions that led to the approval
of the baseline product’s characteristics. Examples of the product’s baseline characteristics
include but are not limited to the following:
— Design methodologies, methods of compliance, and standards used to achieve
compliance with the certification specifications making up the certification basis;
— Structural, mechanical, electrical, propulsion, aerodynamic, performance, operational,
and maintenance characteristics;
— Operational and flight envelopes defining the product performance and capabilities at
specified weights, speeds, altitudes, load factors, and centres of gravity;
— Crashworthiness;
— Role or mission;
— Airworthiness and operational limitations; or
— Pilot training, if necessary.
J.3
Baseline product.
It is an aeronautical product with a specific, defined approved configuration and certification
basis that the applicant proposes to change.
J.4
Certification basis.
The combination of the:
— airworthiness certification specifications as provided for in point 21.B.80;
— OSD certification specifications as provided for in point 21.B.82; and
— environmental protection requirements, as provided for in point 21.B.85,
and as established for the change according to point 21.A.101, as well as the:
— special conditions;
— equivalent safety findings;
— elects to comply; and
— deviations, applicable to the product to be certified.
J.5
Change.
The term ‘change’ refers to a change to a product type certificate (as defined in point 21.A.41)
approved or to be approved under Subpart D or Subpart E (as a supplemental type certificate)
of Part 21, including a change to an STC or a change to the ETSOA for auxiliary power units
(APUs) under Subpart O. A change may consist of a single stand-alone change to one TC
component or several interrelated changes to different TC components (e.g. the type design,
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operating characteristics, OSD, environmental protection characteristics, etc. (see point 21.A.41
and GM to 21.A.90A)).
J.6
Design change.
The term ‘design change’ refers to a change to the type design (as defined in point 21.A.31) of
an aeronautical product. In the context of this document, the terms ‘change to the type design’,
‘modification’, ‘design change’, and ‘type design change’ are synonymous.
J.7
Earlier standards.
The certification specifications or previous standards in effect prior to the date of application
for the change, but not prior to the existing certification basis.
J.8
Existing certification basis.
The certification specifications or previous standards incorporated by reference in the type
certificate of the baseline product to be changed.
J.9
Latest standards.
The certification specifications in effect on the date of application for the change.
J.10 Previous relevant design changes.
Previous design changes, the cumulative effect of which could result in a product significantly
or substantially different from the original product or model, when considered from the last
time the latest standards were applied.
J.11 Product-level change.
A change or combination of changes that makes the product distinct from other models of the
product (e.g. range, payload, speed, design philosophy). Product-level change is defined at the
aircraft, aircraft engine, or propeller level of change.
J.12 Secondary change.
A change that is part of a significant physical change that does not contribute materially to the
level of safety. Guidance is contained in paragraph 3.10.1.4 of this GM.
J.13 Significant change.
A change to the type certificate to the extent that it changes one or more of the following, but
not to the extent to be considered a substantial change: the general configuration, principles of
construction, or the assumptions used for certification. The significance of the change is
considered in the context of all previous relevant design changes and all related revisions to the
applicable standards. Not all product-level changes are significant.
J.14 Significant change to area.
For aircraft excepted under point 21.A.101(c) only: a change to an area is significant if the
general configuration or the principles of construction in that area are not retained, or the
assumptions used for the certification of that area do not remain valid.
J.15 Substantial change.
A change that is so extensive that a substantially complete investigation of compliance with the
applicable certification basis is required, and consequently a new type certificate is required
pursuant to point 21.A.19.
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GM No 1 to 21.A.101(g) Establishment of the operational suitability
data (OSD) certification basis for changes to type certificates (TCs)
ED Decision 2019/018/R
This GM provides guidance on the application of point 21.A.101(g) in order to determine the
applicable OSD certification basis in accordance with points 21.A.101(a), (b), (c), (d), (e) and (f) for
major changes to the OSD of type-certified aircraft.
1.
Minor changes
Minor changes to the OSD are automatically outside the scope of point 21.A.101. See GM
21.A.95 for their certification basis.
2.
Major changes
a.
If the design change that triggered the change to the OSD constituent is classified as nonsignificant, the change to the OSD constituent is also non-significant.
b.
If the design change that triggered the change to the OSD constituent is classified as
significant, the change to the OSD constituent should comply with the latest amendment
of the applicable CSs, unless the exceptions of 21.A.101(b)(3) apply or unless the OSD
change can be classified as minor as per 21.A.91. The guidance of GM 21.A.101
Section 3.10 regarding the exceptions ‘impractical’ and ‘not contributing materially to the
level of safety’, can be applied by analogy and as far as it is applicable to OSD changes.
c.
Stand-alone changes to an OSD constituent are considered to be non-significant.
d.
When a new OSD constituent is added or required to be added, it should comply with the
latest amendment of the applicable CSs.
e.
Reserved.
f.
Reserved.
g.
Point 21.A.101(c) provides an exception from the requirements of 21.A.101(a) for a
change to the OSD of certain aircraft below a specified maximum weight. If an applicant
applies for a change to the OSD for an aircraft (other than rotorcraft) of 2 722 kg
(6 000 lbs) or less maximum weight, or for a non-turbine-powered rotorcraft of 1 361 kg
(3 000 lbs) or less maximum weight, the applicant can demonstrate that the changed OSD
complies with the OSD certification basis incorporated by reference in the TC. The
applicant can also elect to comply, or may be required to comply, with a later
amendment. See also Chapter 4 Section 4.1 (GM 21.A.101) for specific guidance on this
requirement.
Note: Refer to GM No 1 to 21.A.15(d) for the applicability of the OSD to other-than-complex motorpowered aircraft.
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AMC1 21.A.101(h) Type-certification basis for changes to large
aeroplanes subject to point 26.300 of Part-26
ED Decision 2021/007/R
Compliance with point 21.A.101(h) is demonstrated through compliance with Amdt 19 to CS 25.571
or subsequent amendments, or with the following:
(a)
(b)
For turbine-powered large aeroplanes with a certified maximum take-off weight (MTOW)
greater than 34 019 kg (75 000 lbs):
(1)
For changes that affect or introduce fatigue critical structures susceptible to widespread
fatigue damage (WFD), WFD evaluations should substantiate freedom from WFD up to
the existing limit of validity (LOV) or a new reduced LOV approved by EASA;
(2)
The extension of an existing LOV is a major change.
(3)
The extent of the test evidence required in support of the WFD evaluation should be
agreed with EASA;
(4)
Inspections and other maintenance actions upon which the LOV is dependent are
established and submitted to EASA for approval in accordance with point 21.A.7 of
Part 21;
(5)
AMC 20-20B paragraph 8 contains additional guidance on this subject.
For turbine-powered large aeroplanes certified to carry 30 passengers or more, or with a
payload capacity of 3 402 kg (7 500 lbs) or more:
(1)
(2)
(c)
For changes that affect or introduce fatigue critical structures, damage-tolerance
evaluations must be performed according to the certification basis of the aeroplane
unless it precedes JAR 25.571 Change 7 or 14 CFR §25.571 Amendment 45, in which case
the certification basis for the change should be:
(i)
JAR 25.571 Change 7 or 14 CFR §25.571 Amendment 45, or later amendments; or
(ii)
the specifications used for compliance with the applicable points of Part-26 for the
structures affected by the change.
Develop or amend the list of fatigue-critical modified structures (FCMS) as necessary and
make it available to aircraft operators as part of the ICA of the change.
For turbine-powered large aeroplanes, the baseline corrosion prevention and control
programme is amended or supplemented to address the influence of the change on the
effectiveness of the programme, as necessary.
21.A.108 Availability of operational suitability data
Regulation (EU) No 69/2014
In the case of a change affecting the operational suitability data, the holder of the minor change
approval shall make available:
(a)
at least one set of changes to the operational suitability data prepared in accordance with the
applicable operational suitability certification basis, to all known EU operators of the changed
aircraft, before the operational suitability data must be used by a training organisation or an EU
operator; and
(b)
any further change to the affected operational suitability data, to all known EU operators of the
changed aircraft; and
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on request, the relevant parts of the changes in points (a) and (b) above, to:
1.
the competent authority responsible for verifying conformity with one or more elements
of the affected operational suitability data; and
2.
any person required to comply with one or more elements of this set of operational
suitability data.
GM to 21.A.62, 21.A.108 and 21.A.120B Availability of Operational
Suitability Data
ED Decision 2014/007/R
(a)
When making data available, the holder of the design approval (TC, change approval, STC)
should take into account the applicable security laws.
(b)
When making data available, the holder of the design approval can impose conditions
addressing the intellectual property nature of the data.
21.A.109 Obligations and EPA marking
Regulation (EU) 2021/699
The holder of a minor change approval to a type-certificate shall:
(a)
undertake the obligations laid down in points 21.A.4, 21.A.5, 21.A.7 and 21.A.108; and
[applicable until 6 March 2023]
(a)
undertake the obligations laid down in points 21.A.4, 21.A.5, 21.A.6, 21.A.7, 21.A.9 and
21.A.108; and
[applicable from 7 March 2023 — Regulation (EU) 2022/201]
(b)
specify the marking, including EPA (European Part Approval) letters, in accordance with point
21.A.804(a).
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SUBPART E — SUPPLEMENTAL TYPE-CERTIFICATES
21.A.111 Scope
Regulation (EU) 2019/897
This Subpart establishes the procedure for the approval of major changes to the type-certificate under
supplemental type-certificate procedures, and establishes the rights and obligations of the applicants
for, and holders of, those certificates. In this Subpart, the references to type-certificates include typecertificates and restricted type-certificates.
21.A.112A Eligibility
Regulation (EU) 2019/897
Any natural or legal person that has demonstrated, or is in the process of demonstrating, its capability
in accordance with point 21.A.112B may apply for a supplemental type-certificate in accordance with
the conditions laid down in this Subpart.
21.A.112B Demonstration of capability
Regulation (EU) 2019/897
(a)
An applicant for a supplemental type-certificate shall demonstrate its capability by holding a
design organisation approval, issued by the Agency in accordance with Subpart J.
(b)
By way of derogation from point (a), as an alternative procedure to demonstrate its capability,
an applicant may seek Agency agreement for the use of procedures setting out the specific
design practices, resources and sequence of activities necessary to comply with this Subpart.
(c)
By way of derogation from point (a), in the case of products referred to in point 21.A.14(c), an
applicant may demonstrate its capability by obtaining the Agency's acceptance of its
certification programme established in accordance with point 21.A.93(b).
AMC to 21.A.143, 21.A.243, 21.A.14(b), 21.A.112B(b) and
21.A.432B(b) Flight Test Operations Manual (FTOM)
ED Decision 2017/024/R
1.
General
a.
Scope: The FTOM covers flight test operations.
The FTOM complexity should be proportionate to the aircraft and the organisation
complexity.
b.
Format
The FTOM may:
— be included in the Design Organisation Approval (DOA)/Production Organisation
Approval (POA)/Alternative Procedure to DOA (APDOA) documents, or
— be a separate manual.
The FTOM may make reference to other documents to cover the contents listed below,
e.g. for record-keeping.
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SECTION A — TECHNICAL
REQUIREMENTS
Use by contractors or sub-contractors:
When flight tests are performed by contractors or sub-contractors, they should comply
with the FTOM of the primary organisations, unless they have established an FTOM in
compliance with Part-21, the use of which has been agreed between the two
organisations.
2.
The FTOM should contain the following elements:
a.
Exposition (not applicable in the case of APDOA):
If the FTOM is presented as a separate document, it should include a chart indicating the
structure of the organisation and, more specifically, the functional links of the people in
charge of flight test activities. It should also mention the coordination between all
departments affecting flight test, e.g. Design Office, Production and Maintenance, in
particular coordination for the establishment and update of a Flight Test Programme.
b.
Risk and safety management:
The FTOM should describe the organisation’s policy in relation to risk and safety
assessment, mitigation and associated methodologies.
c.
Crew members:
According to the flight test category, the FTOM should describe the organisation’s policy
on the composition of the crew (including the need to use a Lead Flight Test Engineer
(LFTE)) and the competence and currency of its flight test crew members, including
procedures for appointing crew members for each specific flight.
All crew members should be listed in the FTOM.
A flight time limitation policy should be established.
d.
Carriage of persons other than crew members:
According to the flight test category, the FTOM should describe the organisation’s policy
in relation to the presence and safety on-board, of people other than crew members
(i.e. with no flying duties).
People other than crew members should not be allowed on board for Category 1 flight
tests.
e.
Instruments and equipment:
The FTOM should list, depending on the nature of the flight, the specific safety-related
instruments and equipment that should be available on the aircraft or carried by people
on board.
The FTOM should contain provisions to allow flights to take place in case of defective or
missing instruments or equipment.
f.
Documents:
The FTOM should list the documents to be produced for flight test, and include (or refer
to) the procedures for their issue, update and follow-up to ensure the documents’
configuration control:
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documents associated with a Flight Test Programme:
— Flight Order for a given flight, which should include:
— a list of the tests to be performed and associated conditions;
— safety considerations relevant to the flight;
— category of the flight (e.g. Category 1);
— composition of the crew;
— names of persons other than crew members;
— aircraft configuration items relevant to the test to be highlighted to the
crew;
— loading of the aircraft;
— reference to approved flight conditions; and
— restrictions relevant to the flight to be highlighted to the crew.
— Flight crew report.
g.
(ii)
documentation and information to be carried on the aircraft during flight test;
(iii)
record-keeping: the FTOM should describe the policy relative to record-keeping.
Permit to fly:
The FTOM should describe the involvement of the flight test organisation or flight test
team (as appropriate) in the process for the approval of flight conditions and the issue of
permits to fly in accordance with Subpart P.
h.
Currency and training:
The FTOM should describe how training for flight test is organised.
Currency of the flight test crew may be ensured either through recent experience or
refresher training.
For aircraft for which Appendix XII is applicable, minimum flight experience by year
should be:
— for pilots: 50 hours. In addition:
— for pilots with a flight test rating, the 50 hours should include 20 flight test
hours in any flight test category.
— for pilots performing a Category 3 flight test, the flight test experience should
be expressed in terms of a number of flights leading to the issue of a Certificate
of Airworthiness (CofA) (e.g. first flights).
— for pilots performing a Category 4 flight test, the minimum flight test
experience should be proportionate to the activity envisaged.
— for LFTEs: 10 flight test hours in any flight test category.
The FTOM should specify the requirements for a refresher training in order to ensure that
crew members are sufficiently current to perform the required flight test activity.
A system should be established to record the currency of the flight test crew’s training.
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A valid national document (i.e. licence), issued by an EASA Member State under its
national regulations and ensuring compliance with the agreed currency requirements, is
an acceptable means of compliance to demonstrate currency for a pilot that holds a flight
test rating and for an LFTE.
GM1 to 21.A.112B Demonstration of capability
ED Decision 2021/001/R
DEMONSTRATION OF CAPABILITY FOR SUPPLEMENTAL TYPE CERTIFICATE (STC) CASES
See also AMC 21.A.14(b) for the details of the alternative procedures.
The following examples of major changes to type design (ref.: 21.A.91) are classified in two groups.
Group 1 contains cases where a design organisation approved under Part 21 Subpart J
(‘Subpart J DOA’) should be required, and Group 2 cases where the alternative procedure may be
accepted. They are typical examples but each STC case should be addressed on its merits and there
would be exceptions in practice. This classification is valid for new STCs, not for evolution of STCs, and
may depend upon the nature of the STC (complete design or installation).
Product
All aircraft
Discipline
Kind of STC
Group
OSD
Major stand-alone change to any OSD constituent
Products for which an
alternative procedure
may be accepted
according to 21.A.14(b)
All disciplines
1
2
CS-23 (products where a
Subpart J DOA is required
for TC)
Notes:
1)
An STC which leads to a reassessment of the loads on large parts of the primary structure should be in
Group 1.
2)
‘2/1’ means that an assessment of consequences in terms of handling qualities, performance or
complexity of demonstration of compliance may lead to classification in Group 1.
Aircraft
Conversion to tail wheel configuration
Auxiliary fuel tank installations
Glass fibre wing tips
Fairings: nacelle, landing gear
Gap seals: aileron, flap, empennage, doors
Vortex generators
Spoiler installation
Increase in MTOW
1
2/1
2/1
2
2
2/1
1
1
Structures
Stretcher installation
Change to seating configuration
Windshield replacement (heated, single piece, etc.)
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2
2
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Discipline
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SECTION A — TECHNICAL
REQUIREMENTS
Kind of STC
Lightweight floor panels
Ski installations
Group
2
2/1
Propulsion
Engine model change
Fixed pitch propeller installation
Constant speed propeller installation
Installation of exhaust silencer
Installation of graphic engine monitor
Installation of fuel flow meter
Accessory replacement (alternator, magnetos, etc.)
Inlet modifications: oil cooler; induction air
1
2
2/1
2
2
2
2
2
Avionics upgrades (EFIS, GPS, etc.)
Engine instrument replacements
Carburettor ice detection system
Autopilot system installation
Wing tip landing light; recognition lights
WX radar installation
Aeromedical system installations
De-icing and anti-icing system installations
Emergency power supply installations
2/1
2
2
1
2
2
2
1
2
Equipment
CS-25
Cabin Safety
Note:
Basically, all changes related to cabin
configuration should be in Group 2.
Cabin layout (installation of seats (16G), galleys,
single class or business / economy class, etc.)
2
Floor path marking
Crew rest compartment
Change of cargo compartment classification (from
class D to class C)
2
1
1
Cargo door
1
Change from passenger to freighter configuration
1
CVR
2
Structure
Note:
An STC which leads to a reassessment of the
loads on large parts of the primary structure
should be in Group 1.
Avionics
Notes:
For CS-25 products, the existence of an
ETSO is not taken into account for the
classification.
The impact on aircraft performance, and
influence of aircraft performance are
criteria to assess the classification.
Subjective assessment of human factors is
considered for determination of the
classification.
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Product
Discipline
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SECTION A — TECHNICAL
REQUIREMENTS
Kind of STC
VHF
NAV (ADF, VOR, GPS, BRNAV)
Autopilot, HUD, EFIS, FMS
DFDR
Meteo radar
ILS Cat 3
RVSM
TCAS, EGPWS
GPWS
Group
2
2
1
2/1
2
1
1
1
2
Powerplant
CS-27 or CS-29
All disciplines
Note:
2/1 means that an assessment of
consequences in terms of handling qualities
and performance may lead to classification
in Group 1.
Auxiliary fuel tanks
Thrust reverser system
Hushkit
Fire detection
Fuel gauging
Change of engine or propeller
1
1
1
1
1
1
Replacement of main rotor or tail rotor blades
1
Autopilot
Engine type change
GPS installation
Jettisonable overhead raft installation
Utility basket installation
Nose or side mount camera installation
Passenger access step installation
Protection net & handle installation (parachuting)
VIP cabin layout
Navigation system installation
Fuel boost pump automatic switch-on installation
Decrease of maximum seating capacity
Agricultural spray kit installation
Long exhaust pipe installation
Flotation gear installation
Wipers installation
Engine oil filter installation
Skid gear covering installation
Gutter installation (top pilot door)
Cable cutter installation
Auxiliary fuel tank fixed parts installation
Cabin doors windows replacement
Radio altimeter aural warning installation
Standby horizon autonomous power supply
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1
1
2
2
2/1
2/1
2/1
2
2
2
2
2
2/1
2
2/1
2
2
2/1
2
2
2
2
2
2
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Product
Discipline
Annex I
SECTION A — TECHNICAL
REQUIREMENTS
Kind of STC
Fire attack system
Hoisting system installation
External loads hook installation
Emergency flotation gear installation
Heating/demisting (P2 supply)
Group
2/1
2/1
2
2/1
2
21.A.113 Application for a supplemental type-certificate
Regulation (EU) 2019/897
(a)
An application for a supplemental type-certificate shall be made in a form and manner
established by the Agency.
(b)
When applying for a supplemental type-certificate, the applicant shall:
(c)
(i)
include in the application the information required by point 21.A.93(b);
(ii)
specify whether the certification data has been or will be prepared completely by the
applicant or on the basis of an arrangement with the owner of the type-certification data.
Point 21.A.93(c) applies to the requirements for the time limits of the application effectivity as
well as the requirements related to the need to update the type-certification basis, operational
suitability data certification basis and environmental protection requirements, when the
change has not been approved or it is evident that it will not be approved within the time limit
established.
AMC 21.A.113(a) Form and manner
ED Decision 2019/018/R
The applicant should file an application using the web-based ‘EASA Applicant Portal’1 or the
application form for a supplemental type certificate (STC) (FO.CERT.00033)2, which may be
downloaded from the EASA website.
If the form is filled in offline, it should be completed in accordance with the instructions embedded at
the bottom of the application form, and sent to EASA by fax, email or regular mail following the
information provided on the EASA website3.
1
https://ap.easa.europa.eu (changes to the link provided may not be reflected in this document).
2
https://www.easa.europa.eu/document-library/application-forms/focert00033 (changes to the link provided may not be reflected in
this document).
3
https://www.easa.europa.eu/document-library/application-forms/certificates-and-approvals (changes to the link provided may not be
reflected in this document).
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SECTION A — TECHNICAL
REQUIREMENTS
21.A.115 Requirements for approval of major changes in the form
of a supplemental type-certificate
Regulation (EU) 2019/897
(a)
(b)
Supplemental type certificates shall be issued by:
1.
the Agency; or
2.
an approved design organisation within the scope of its privileges provided for in points
(1) and (9) of point 21.A.263(c), as recorded in the terms of approval.
A supplemental type-certificate shall only be issued when:
1.
the applicant has demonstrated its capability in accordance with point 21.A.112B;
2.
it has been demonstrated that the change to a type-certificate and areas affected by the
change comply with the type-certification basis and the environmental protection
requirements, as established by the Agency in accordance with point 21.A.101;
3.
in the case of a supplemental type-certificate affecting the operational suitability data, it
has been demonstrated that the necessary changes to the operational suitability data
meet the operational suitability data certification basis, as established by the Agency in
accordance with point 21.A.101;
4.
compliance with points (2) and (3) has been demonstrated in accordance with point
21.A.20, as applicable to the change; and
5.
in case the applicant has specified that it provided certification data on the basis of an
arrangement with the owner of the type-certification data in accordance with point
21.A.113(b):
(i)
the type-certificate holder has indicated that it has no technical objection to the
information submitted under point 21.A.93; and
(ii)
the type-certificate holder has agreed to collaborate with the supplemental typecertificate holder to ensure discharge of all obligations for continued airworthiness
of the changed product through compliance with points 21.A.44 and 21.A.118A.
(c)
By derogation from points (3) and (4) of point (b), at the applicant's request included in the
declaration referred to in point 21.A.20(d), the applicant is entitled to have a supplemental
type-certificate for an aircraft issued before the applicant has demonstrated compliance with
the operational suitability data certification basis, provided that the applicant demonstrates
such compliance before the date at which those data are to be actually used.
(d)
A supplemental type-certificate shall be limited to the specific configuration(s) in the typecertificate to which the related major change relates.
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Annex I
SECTION A — TECHNICAL
REQUIREMENTS
AMC 21.A.115 Requirements for the approval of major changes in
the form of a supplemental type certificate (STC)
ED Decision 2019/018/R
(a)
For STCs approved by EASA, the AMC and GM to point 21.A.20 should be followed by the
applicant.
(b)
For an application under point 21.A.115(c), see GM 21.A.21(b), 21.A.95(c), 21.A.97(c),
21.A.115(c), 21.B.103(b), 21.B.107(b) and 21.B.111(b).
(c)
In accordance with point 21.A.115(d), the compliance demonstration process must always cover
the specific configuration(s) in the type certificate (TC) to which the STC under approval is
applied. These configurations should be defined by the change to the type certificate
considering the type certificate data sheet (TCDS) and the relevant optional installations. The
demonstration of compliance should cover these specific applicable configurations.
Consequently, the approval of the STC excludes any other configurations, in particular those
that already existed, but were not considered in the compliance demonstration process, and
those that may be certified in future.
(d)
For STCs approved by the design organisation approval (DOA) holder under their privilege as
per point 21.A.263(c)(9), the process described under AMC No 2 to 21.A.263(c)(5), (8) and (9)
applies.
GM 21.A.21(b), 21.A.95(c), 21.A.97(c), 21.A.115(c), 21.B.103(b),
21.B.107(b) and 21.B.111(b) Approval of operational suitability data
(OSD)
ED Decision 2019/018/R
It is acknowledged that it may not always be possible to have the OSD available on the date of the
issue of the (restricted) type certificate ((R)TC), change approval or supplemental type certificate
(STC). The derogation provided by 21.A.21(b), 21.A.95(c), 21.A.97(c), 21.A.115(c), 21.B.103(b),
21.B.107(b) and 21.B.111(b) is intended for that case. The (R)TC, change approval or STC can be issued
before compliance with the OSD certification basis has been demonstrated.
However, the OSD needs to be approved before the data is used by a training organisation for the
purpose of obtaining a European Union (EU) licence, rating or attestation, or by an EU operator. This
is normally done before the entry into service of the first aircraft by an EU operator but it could also
be done later for some of the OSD constituents, such as the definition of the scope of validation source
data to support the objective qualification of a simulator, which should only be available when a
simulator has to be qualified.
The derogation provided in points 21.A.97(c), 21.A.115(c), 21.B.103(b), 21.B.107(b), and 21.B.111(b)
is applicable to all major changes to a TC, so it is also applicable to minor design changes when
triggering a major master minimum equipment list (MMEL) change, as well as to changes in which at
least one of the OSD constituent changes is major.
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Annex I
SECTION A — TECHNICAL
REQUIREMENTS
21.A.116 Transferability
Regulation (EU) No 748/2012
A supplemental type-certificate shall only be transferred to a natural or legal person that is able to
undertake the obligations of point 21.A.118A and for this purpose has demonstrated its ability to
qualify under the criteria of point 21.A.112B except for ELA1 aircraft for which the natural or legal
person has sought the Agency agreement for the use of procedures setting out its activities to
undertake these obligations.
21.A.117 Changes to that part of a product covered by a
supplemental type-certificate
Regulation (EU) No 748/2012
(a)
Minor changes to that part of a product covered by a supplemental type-certificate shall be
classified and approved in accordance with Subpart D.
(b)
Each major change to that part of a product covered by a supplemental type-certificate shall be
approved as a separate supplemental type-certificate in accordance with this Subpart.
(c)
By way of derogation from point (b), a major change to that part of a product covered by a
supplemental type-certificate submitted by the supplemental type-certificate holder itself may
be approved as a change to the existing supplemental type-certificate.
21.A.118A Obligations and EPA marking
Regulation (EU) 2021/699
Each holder of a supplemental type-certificate shall:
(a)
undertake the obligations:
1.
laid down in points 21.A.3A, 21.A.3B, 21.A.4, 21.A.5, 21.A.6, 21.A.7, and 21.A.120B;
[applicable until 6 March 2023]
1.
laid down in points 21.A.3A, 21.A.3B, 21.A.4, 21.A.5, 21.A.6, 21.A.7, 21.A.9 and
21.A.120B;
[applicable from 7 March 2023 — Regulation (EU) 2022/201]
2.
implicit in the collaboration with the type-certificate holder under point 21.A.115(d)(2);
and for this purpose continue to meet the criteria of point 21.A.112B;
(b)
specify the marking, including EPA letters, in accordance with point 21.A.804(a).
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Annex I
SECTION A — TECHNICAL
REQUIREMENTS
21.A.118B Duration and continued validity
Regulation (EU) No 748/2012
(a)
(b)
A supplemental type-certificate shall be issued for an unlimited duration. It shall remain valid
subject to:
1.
the holder remaining in compliance with this Annex I (Part 21); and
2.
the certificate not being surrendered or revoked under the applicable administrative
procedures established by the Agency.
Upon surrender or revocation, the supplemental type-certificate shall be returned to the
Agency.
21.A.120B Availability of operational suitability data
Regulation (EU) No 69/2014
In the case of a change affecting the operational suitability data, the holder of the supplemental typecertificate shall make available:
(a)
at least one set of changes to the operational suitability data prepared in accordance with the
applicable operational suitability certification basis, to all known EU operators of the changed
aircraft, before the operational suitability data must be used by a training organisation or an EU
operator; and
(b)
any further change to the affected operational suitability data, to all known EU operators of the
changed aircraft; and
(c)
on request, the relevant parts of the changes in points (a) and (b) above, to:
1.
the competent authority responsible for verifying conformity with one or more elements
of the affected operational suitability data; and
2.
any person required to comply with one or more elements of this set of operational
suitability data.
GM to 21.A.62, 21.A.108 and 21.A.120B Availability of Operational
Suitability Data
ED Decision 2014/007/R
(a)
When making data available, the holder of the design approval (TC, change approval, STC)
should take into account the applicable security laws.
(b)
When making data available, the holder of the design approval can impose conditions
addressing the intellectual property nature of the data.
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Annex I
SECTION A — TECHNICAL
REQUIREMENTS
SUBPART F — PRODUCTION WITHOUT PRODUCTION
ORGANISATION APPROVAL
21.A.121 Scope
Regulation (EU) No 748/2012
(a)
This Subpart establishes the procedure for demonstrating the conformity with the applicable
design data of a product, part and appliance that is intended to be manufactured without a
production organisation approval under Subpart G.
(b)
This Subpart establishes the rules governing the obligations of the manufacturer of a product,
part, or appliance being manufactured under this Subpart.
GM No 1 to 21.A.121 Applicability – Individual product, part or
appliance
ED Decision 2012/020/R
In this context, ‘demonstrating the conformity with the applicable design data of a product, part and
appliance’ means that conformity with the applicable design data has to be established and shown for
each and every product, part or appliance.
GM No 2 to 21.A.121 Applicability – Applicable design data
ED Decision 2019/018/R
Applicable design data is defined as all the necessary drawings, specifications and other technical
information provided by the applicant for, or holder of a design organisation approval, TC, STC,
approval of repair or minor change design, or ETSO authorisation (or equivalent when Part 21
Section A Subpart F is used for production of products, parts or appliances, the design of which has
been approved other than according to Part 21), and released in a controlled manner to the
manufacturer that produces under Part 21 Subpart F. This should be sufficient for the development of
production data to enable manufacture in conformity with the design data.
Prior to the issue of the TC, STC, approval of repair or minor change design or ETSO authorisation, or
equivalent, design data is defined as ‘not approved’, but parts and appliances may be released with
an EASA Form 1 as a certificate of conformity.
After the issue of the TC, STC, approval of repair or minor change or ETSO authorisation, or equivalent,
this design data is defined as ‘approved’ and items manufactured in conformity are eligible for release
on an EASA Form 1 for airworthiness purposes.
For the purpose of Subpart F of Part 21, the term ‘applicable design data’ includes the information
related to the applicable engine exhaust emissions and aeroplane CO2 emissions production cut-off
requirements.
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Annex I
SECTION A — TECHNICAL
REQUIREMENTS
21.A.122 Eligibility
Regulation (EU) No 748/2012
Any natural or legal person may apply to show conformity of individual products, parts or appliances
under this Subpart, if:
(a)
it holds or has applied for an approval covering the design of that product, part or appliance; or
(b)
it has ensured satisfactory coordination between production and design, through an
appropriate arrangement with the applicant for, or holder of, an approval of such a design.
AMC No 1 to 21.A.122 Eligibility – Link between design and
production
ED Decision 2012/020/R
An ‘arrangement’ is considered suitable if it is documented and satisfies the competent authority that
co-ordination is satisfactory.
To achieve satisfactory co-ordination the documented arrangements must at least define the
following aspects irrespective of whether the design organisation and the person producing or
intending to produce under Part 21 Subpart F are separate legal entities or not:
1.
The responsibilities of a design organisation which assure correct and timely transfer of up-todate applicable design data (e.g., drawings, material specifications, dimensional data,
processes, surface treatments, shipping conditions, quality requirements, etc.);
2.
The responsibilities and procedures of the manufacturer for receiving, managing and using the
applicable design data provided by the design organisation.
3.
The responsibilities and procedures of the manufacturer for developing, where applicable, its
own manufacturing data in compliance with the applicable design data package.
4
The responsibilities of the manufacturer to assist the design organisation in dealing with
continuing airworthiness matters and for required actions (e.g., traceability of parts in case of
direct delivery to users, retrofitting of modifications, traceability of processes’ outputs and
approved deviations for individual parts as applicable, technical information and assistance,
etc.);
5.
The scope of the arrangements covering Subpart F requirements, in particular: 21.A.126(a)(4)
and 21.A.129(d) and (f) and any associated GM or AMC.
6.
The responsibilities of the manufacturer, in case of products prior to type certification to assist
a design organisation in demonstrating compliance with CS (access and suitability of production
and test facilities for manufacturing and testing of prototype models and test specimen);
7.
The procedures to deal adequately with production deviations and non-conforming parts;
8.
The means to achieve adequate configuration control of manufactured parts, to enable the
manufacturer to make the final determination and identification for conformity or
airworthiness release and eligibility status;
9.
The identification of responsible persons/offices who controls the above.
10.
The acknowledgment by the holder of the TC/STC/repair or change approval/ETSO
authorisation that the approved design data provided, controlled and modified in accordance
with the arrangement are recognised as approved.
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SECTION A — TECHNICAL
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In many cases the person producing or intending to produce under Part 21 Subpart F may receive the
approved design data through an intermediate production organisation. This is acceptable provided
an effective link between the design approval holder and the production organisation can be
maintained to satisfy the intent of 21.A.122.
When the design organisation and the manufacturer are two separate legal entities a Direct Delivery
Authorisation should be available for direct delivery to end users in order to guarantee continued
airworthiness control of the released parts and appliances.
Where there is no general agreement for Direct Delivery Authorisation, specific permissions may be
granted (see AMC 21.A.4).
AMC No 2 to 21.A.122 Eligibility – Link between design and
production
ED Decision 2012/020/R
In accordance with AMC No 1 to 21.A.122 the person producing or intending to produce under Part 21
Subpart F should demonstrate to the authority that it has entered into an arrangement with the design
organisation. The arrangement must be documented irrespective of whether the two organisations
are separate legal entities or not.
The documented arrangement must facilitate the person producing or intending to produce under
Part 21 Subpart F to demonstrate compliance with the requirement of 21.A.122 by means of written
documents agreed.
In the case where the design organisation and the person producing or intending to produce under
Part 21 Subpart F are part of the same legal entity these interfaces may be demonstrated by company
procedures accepted by the competent authority.
In all other cases to define such a design/production interface the following sample format is offered:
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SECTION A — TECHNICAL
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Arrangement Sample Form
ARRANGEMENT
in accordance with 21.A.122
Relevant interface
procedures
The undersigned agree on the following commitments:
The design organisation [NAME] takes responsibility to:
— assure correct and timely transfer of up-to-date applicable design data (e.g.,
drawings, material specifications, dimensional data, processes, surface
treatments, shipping conditions, quality requirements, etc.) to the person
producing under Part 21 Subpart F [NAME]
— provide visible statement(s) of approved design data.
The person producing under Part 21 Subpart F [NAME] takes responsibility to
— assist the design organisation [Name] in dealing with continuing
airworthiness matter and for required actions
— assist the design organisation [NAME] in case of products prior to type
certification in demonstrating compliance with certification specifications
— develop, where applicable, its own manufacturing data in compliance with
the airworthiness data package.
The design organisation [NAME] and the person producing under Part 21
Subpart F [NAME] take joint responsibility to:
— deal adequately with production deviations and non-conforming parts in
accordance with the applicable procedures of the design organisation and
the manufacturer producing under Part 21 Subpart F.
— achieve adequate configuration control of manufactured parts, to enable
the manufacturer producing under Part 21 Subpart F to make the final
determination and identification for conformity.
The scope of production covered by this arrangement is detailed in [DOCUMENT REFERENCE/ATTACHED
LIST]
[When the design organisation is not the same legal entity as the manufacturer producing under Part 21
Subpart F]
Transfer of approved design data:
The TC/STC/ETSO authorisation holder [NAME] acknowledges that the approved design data provided,
controlled and modified in accordance with the arrangement are recognised as approved by the competent
authority and therefore the parts and appliances manufactured in accordance with these data and found in a
condition for safe operation may be released certifying that the item was manufactured in conformity to
approved design data and is in a condition for safe operation.
[When the design organisation is not the same legal entity as the manufacturer producing under Part 21
Subpart F]
Direct Delivery Authorisation:
This acknowledgment includes also [OR does not include] the general agreement for direct delivery to end
users in order to guarantee continued airworthiness control of the released parts and appliances.
For the [NAME of the design organisation/DOA
For the [NAME of the person producing under Part 21
holder]
Subpart F]
Date:
xx.xx.xxxx
Signature:
([NAME in block letters])
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Date:
xx.xx.xxxx
Signature:
([NAME in block letters])
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SECTION A — TECHNICAL
REQUIREMENTS
Instructions for completion:
Title: The title of the relevant document must clearly indicate that it serves the purpose of a
design/production interface arrangement in accordance with 21.A.122.
Commitment: The document must include the basic commitments between the design organisation
and the manufacturer producing under Part 21 Subpart F as addressed in AMC 21.A.4 and AMC No 1
to 21.A.122.
Relevant Procedures: Identify an entry point into the documentary system of the organisations with
respect to the implementation of the arrangement (for example a contract, quality plan, handbooks,
common applicable procedures, working plans etc.).
Scope of arrangement: The scope of arrangement must state by means of a list or reference to
relevant documents those products, parts or appliances that are covered by the arrangement.
Transfer of approved design data: Identify the relevant procedures for the transfer of the applicable
design data required by 21.A.122 and AMC No 1 to 21.A.122 from the design organisation to the
person producing under Part 21 Subpart F. The means by which the design organisation advises the
person producing under Part 21 Subpart F whether such data is approved or not approved must also
be identified (ref. 21.A.4 / AMC 21.A.4).
Direct Delivery Authorisation: Where the design organisation and the person producing under Part 21
Subpart F are separate legal entities the arrangement must clearly identify whether authorisation for
direct delivery to end users is permitted or not.
Where any intermediate production/design organisation is involved in the chain between the original
design organisation and the person producing under Part 21 Subpart F, evidence must be available
that this intermediate organisation has received authority from the design organisation to grant Direct
Delivery Authorisation.
Signature: AMC No 1 to 21.A.122 requests the identification of the responsible persons/offices who
control the commitments laid down in the arrangement. Therefore the basic document must be
signed mutually by the authorised representatives of the design organisation and the manufacturer
producing under Part 21 Subpart F in this regard.
21.A.124 Application
Regulation (EU) No 748/2012
(a)
Each application for an agreement to the showing of conformity of individual products, parts
and appliances under this Subpart shall be made in a form and manner established by the
competent authority.
(b)
Such application shall contain:
1.
2.
evidence which demonstrates, where applicable, that:
(i)
the issuance of a production organisation approval under Subpart G would be
inappropriate; or
(ii)
the certification or approval of a product, part or appliance under this Subpart is
needed pending the issuance of a production organisation approval under
Subpart G;
an outline of the information required in point 21.A.125A(b).
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REQUIREMENTS
GM 21.A.124(a) Application – Application form
ED Decision 2012/020/R
EASA Form 60 (see AMC 21.B.120(c)(1)) should be obtained from the competent authority and
completed by the applicant.
An application may be accepted from:
— An individual applying on his or her own behalf, or
— In the case of an organisation, an individual with the authority to make agreements on behalf of
the organisation.
The completed form should be forwarded to the competent authority.
GM 21.A.124(b)(1)(i) Applicability – Inappropriate approval under
Subpart G
ED Decision 2012/020/R
The issue of a letter of agreement of production under Part 21 Subpart F may be agreed by the
competent authority when:
1.
The applicant produces or intends to produce aeronautical products, parts and/or appliances
intended for airborne use as part of a type-certificated product (this excludes simulators,
ground equipment and tools), and
2.
The competent authority determines that Part 21 Section A Subpart G would be inappropriate,
and consequently Part 21 Section A Subpart F applies. The main difference between Part 21
Section A Subparts G and F is that Subpart G requires the existence of a Quality System which
provides the competent authority with the necessary confidence to grant to the manufacturer
the privileges of certifying its own production. There are situations where a Quality System,
including independent monitoring and continuous internal evaluation functions, is not justified
and /or feasible. In making the determination that Subpart F may apply, the competent
authority may take into account one or a combination of parameters such as the following:
— no flow production (infrequent or low volume of production).
— simple technology (enabling effective inspection phases during the manufacturing
process).
— very small organisation.
GM 21.A.124(b)(1)(ii) Certification or approval needed in advance
of the issue of a POA
ED Decision 2012/020/R
In cases where Part 21 Section A Subpart G is applicable, but when some time is needed for the
organisation to achieve compliance with Subpart G, i.e., to establish the necessary documented
quality system, the competent authority may agree to use Part 21 Section A Subpart F for a limited
period (transient phase).
In cases where Part 21 Section A Subpart G is applicable, such as to produce ETSO articles, a letter of
agreement to produce under Part 21 Subpart F should not be given unless an application has been
made for organisation approval under Subpart G, and reasonable progress is being made towards
compliance with Subpart G. Long-term production under Part 21 Subpart F will not be permitted.
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REQUIREMENTS
GM 21.A.124(b)(2) Application – Minimum information to include
with the application
ED Decision 2012/020/R
At this early stage, provision of the complete manual is not necessary, but at least the following items
should be covered:
1.
Table of Contents of the Manual (including list of existing inspection system documents or
procedures)
2.
Description of items to be manufactured (including intended quantities /deliveries)
3.
List of possible suppliers
4.
General description of facilities
5.
General description of production means
6.
Human resources
21.A.124A Means of compliance
Regulation (EU) 2022/201
(a)
An organisation may use any alternative means of compliance to establish compliance with this
Regulation.
(b)
If an organisation wishes to use an alternative means of compliance, it shall, prior to using it,
provide the competent authority with a full description. The description shall include any
revisions to manuals or procedures that may be relevant, as well as an explanation indicating
how compliance with this Regulation is achieved.
The organisation may use those alternative means of compliance subject to prior approval from
the competent authority.
[applicable from 7 March 2023 — Regulation (EU) 2022/201]
21.A.125A Issue of a letter of agreement [applicable until 6 March
2023] / 21.A.125A Issuance of a letter of agreement [applicable
from 7 March 2023]
Regulation (EU) No 748/2012
The applicant shall be entitled to have a letter of agreement issued by the competent authority
agreeing to the showing of conformity of individual products, parts and appliances under this Subpart,
after:
(a)
having established a production inspection system that ensures that each product, part or
appliance conforms to the applicable design data and is in condition for safe operation;
(b)
having provided a manual that contains:
1.
a description of the production inspection system required under point (a);
2.
a description of the means for making the determination of the production inspection
system;
3.
a description of the tests required in points 21.A.127 and 21.A.128, and the names of
persons authorised for the purpose of point 21.A.130(a);
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(c)
Annex I
SECTION A — TECHNICAL
REQUIREMENTS
demonstrating that it is able to provide assistance in accordance with points 21.A.3A and
21.A.129(d).
GM No 1 to 21.A.125A Letter of agreement – Meaning of individual
ED Decision 2012/020/R
‘Individual’ means that each part number or type of item (i.e., product, part or appliance) to be
produced should be specifically referenced, either directly or through a referenced capability list, in
the letter of agreement from the competent authority. The letter may also specify any limitation in
the production rate.
GM No 1 to 21.A.125A(b) Letter of agreement – Contents of the
Manual
ED Decision 2012/020/R
The manual referred in 21.A.125A(b) should include, at least the following information:
1.
Declaration by the applicant of undertaking in respect of
1.1
the requirements defined in Part 21 Section A Subpart F
1.2
the procedures contained in the manual and in the documentation mentioned herein
1.3
every legal provision laid down for the carrying on of the business activities (statutory
declaration).
2.
Declaration by the applicant certifying the conformity of the manual to the requirements
defined in Part 21 Section A Subpart F
3.
Jobs, power and responsibilities of the accountable personnel
4.
Organisation chart, if required by the competent authority
5.
Description of the resources, including human resources, with an indication of the personnel
qualification criteria
6.
Description of location and equipment
7.
Description of the scope of work, the production processes and techniques, and reference to
the ‘capability list’
8.
Communications with the competent authority, and specifically those required by 21.A.125A(c)
9.
Assistance and communication with the design approval holder, and the means of compliance
with 21.A.125A(c)
10.
Amendments to the Manual
11.
Description of the Inspection System (including test, see GM No 2 to 21.A.125A(b), and 21.A.127
and 21.A.128), and the procedures to meet 21.A.126 and associated GM
12.
List of suppliers
13.
Issuing of the Statement of Conformity and competent authority inspection for validation
If the information is listed in the Manual in a different order a cross-reference to the above list should
be made available in the Manual.
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SECTION A — TECHNICAL
REQUIREMENTS
GM No 2 to 21.A.125A(b) Letter of agreement – Production
Inspection System: Functional Tests
ED Decision 2012/020/R
All items produced should be subject to inspection to be carried out at suitable phases which permit
an effective verification of conformity with the design data.
These inspections may provide for the execution of tests to measure performances as set out in the
applicable design data.
Considerations of complexity of the item and/or its integration in the next level of production will
largely determine the nature and time for these tests, for example:
— appliances - will require full functional testing to the specifications
— parts - will at least require basic testing to establish conformity, but due allowance may be made
for further testing carried out at the next level of production
— material - will require verification of its stated properties.
GM 21.A.125A(c) Letter of agreement – Assistance
ED Decision 2012/020/R
The competent authority should be provided with material which defines the means of providing
assistance as required by 21.A.125A(c). Suitable descriptive material should be included in the Manual,
as described in GM No 1 to 21.A.125A(b).
21.A.125B Findings [applicable until 6 March 2023] / 21.A.125B
Findings and observations [applicable from 7 March 2023 Regulation (EU) 2022/201]
Regulation (EU) No 748/2012
(a)
When objective evidence is found showing non-compliance of the holder of a letter of
agreement with the applicable requirements of this Annex I (Part 21), the finding shall be
classified as follows:
1.
a level one finding is any non-compliance with this Annex I (Part 21) which could lead to
uncontrolled non-compliances with applicable design data and which could affect the
safety of the aircraft;
2.
a level two finding is any non-compliance with this Annex I (Part 21) which is not classified
as level one.
(b)
A level three finding is any item where it has been identified, by objective evidence, to contain
potential problems that could lead to a non-compliance under point (a).
(c)
After receipt of notification of findings according to point 21.B.125:
1.
in case of a level one finding, the holder of the letter of agreement shall demonstrate
corrective action to the satisfaction of the competent authority within a period of no
more than 21 working days after written confirmation of the finding;
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Annex I
SECTION A — TECHNICAL
REQUIREMENTS
2.
in case of level two findings, the corrective action period granted by the competent
authority shall be appropriate to the nature of the finding but in any case initially shall
not be more than three months. In certain circumstances and subject to the nature of the
finding, the competent authority may extend the three months period subject to the
provision of a satisfactory corrective action plan agreed by the competent authority;
3.
a level three finding shall not require immediate action by the holder of the letter of
agreement.
In case of level one or level two findings, the letter of agreement may be subject to a partial or
full limitation, suspension and revocation under point 21.B.145. The holder of the letter of
agreement shall provide confirmation of receipt of the notice of limitation, suspension or
revocation of the letter of agreement in a timely manner.
[applicable until 6 March 2023]
(a)
After receipt of the notification of findings in accordance with point 21.B.125, the holder of a
letter of agreement shall:
1.
identify the root cause(s) of, and contributing factor(s) to, the non-compliance;
2.
define a corrective action plan;
3.
demonstrate the implementation of the corrective action to the satisfaction of the
competent authority.
(b)
The actions referred to in point (a) shall be performed within the period agreed with that
competent authority in accordance with point 21.B.125.
(c)
The observations received in accordance with point 21.B.125(e) shall be given due
consideration by the holder of the letter of agreement. The organisation shall record the
decisions taken in respect of those observations.
[applicable from 7 March 2023 - Regulation (EU) 2022/201]
GM No 1 to 21.A.125B(a) Uncontrolled non-compliance with
applicable design data
ED Decision 2012/020/R
An uncontrolled non-compliance with applicable design data is a non-compliance:
a)
that cannot be discovered through systematic analysis or
b)
that prevents identification of affected products, parts, appliances, or material.
GM No 2 to 21.A.125B(a) Examples for level one findings
ED Decision 2012/020/R
Examples for level 1 findings are non-compliances with any of the following points, that could affect
the safety of the aircraft:
21.A.126, 21.A.127, 21.A.128, 21.A.129.
It should be anticipated that a non-compliance with these points is only considered a level one finding
when objective evidence has been found that this finding is an uncontrolled non-compliance that
could affect the safety of the aircraft.
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SECTION A — TECHNICAL
REQUIREMENTS
21.A.125C Duration and continued validity
Regulation (EU) No 748/2012
(a)
(b)
The letter of agreement shall be issued for a limited duration not exceeding one year. It shall
remain valid unless:
1.
the holder of the letter of agreement fails to demonstrate compliance with the applicable
requirements of this Subpart; or
2.
there is evidence that the manufacturer cannot maintain satisfactory control of the
manufacture of products, parts, or appliances under the agreement; or
3.
the manufacturer no longer meets the requirements of point 21.A.122; or
4.
the letter of agreement has been surrendered, revoked under point 21.B.145, or has
expired.
Upon surrender, revocation or expiry, the letter of agreement shall be returned to the
competent authority.
[applicable until 6 March 2023]
(a)
(b)
The letter of agreement shall be issued for a limited period of time that in any case shall not
exceed 1 year. It shall remain valid subject to the organisation’s compliance with all the
following conditions:
1.
the production organisation continues to comply with the applicable requirements of this
Annex;
2.
the production organisation or any of its partners, suppliers or subcontractors
acknowledges that the competent authority may carry out investigations in accordance
with point 21.A.9;
3.
the production organisation is able to provide the competent authority with evidence
showing that it maintains satisfactory control of the manufacture of products, parts and
appliances under the letter of agreement;
4.
the letter of agreement has not been revoked by the competent authority under
point 21.B.65, has not been surrendered by the production organisation, and its duration
has not expired.
Upon surrender, revocation or expiry, the letter of agreement shall be returned to the
competent authority.
[applicable from 7 March 2023 - Regulation (EU) 2022/201]
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SECTION A — TECHNICAL
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21.A.126 Production inspection system
Regulation (EU) No 748/2012
(a)
(b)
The production inspection system required under point 21.A.125A(a) shall provide a means for
determining that:
1.
incoming materials, and bought or subcontracted parts, used in the finished product are
as specified in the applicable design data;
2.
incoming materials, and bought or subcontracted parts, are properly identified;
3.
processes, manufacturing techniques and methods of assembly affecting the quality and
safety of the finished product are accomplished in accordance with specifications
accepted by the competent authority;
4.
design changes, including material substitutions, have been approved under Subpart D
or E and controlled before being incorporated in the finished product.
The production inspection system required by point 21.A.125A(a), shall also be such as to
ensure that:
1.
parts in process are inspected for conformity with the applicable design data at points in
production where accurate determinations can be made;
2.
materials subject to damage and deterioration are suitably stored and adequately
protected;
3.
current design drawings are readily available to manufacturing and inspection personnel,
and used when necessary;
4.
rejected materials and parts are segregated and identified in a manner that precludes
installation in the finished product;
5.
materials and parts that are withheld because of departures from design data or
specifications, and that are to be considered for installation in the finished product, are
subjected to an approved engineering and manufacturing review procedure. Those
materials and parts determined by this procedure to be serviceable shall be properly
identified and reinspected if rework or repair is necessary. Materials and parts rejected
by this procedure shall be marked and disposed of to ensure that they are not
incorporated in the final product;
[applicable until 6 March 2023]
5.
materials and parts that are withheld because of deviations from type design or
production specifications, and that are to be considered for installation in the finished
product, are subjected to an approved engineering and manufacturing review procedure.
Those materials and parts that have been found in that procedure to be serviceable shall
be properly identified and reinspected if it is necessary to be reworked or repaired.
Materials and parts rejected in that procedure shall be marked and disposed of to ensure
that they are not incorporated in the final product;
[applicable from 7 March 2023 - Regulation (EU) 2022/201]
6.
records produced under the production inspection system are maintained, identified
with the completed product or part where practicable, and retained by the manufacturer
in order to provide the information necessary to ensure the continued airworthiness of
the product.
[applicable until 6 March 2023]
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GM 21.A.126 Production inspection system
ED Decision 2012/020/R
GM 21.A.126(a) and (b) have been developed for persons producing under Part 21 Section A Subpart F
on the long term basis as defined in 21.A.124(b)(1)(i).
For those persons producing under Part 21 Section A Subpart F as a transient phase under
21.A.124(b)(1)(ii), compliance with 21.A.126 may also be demonstrated to the satisfaction of the
competent authority by using the equivalent Part 21 Section A Subpart G AMC/GM.
GM 21.A.126(a)(1) Production inspection system – Conformity of
supplied parts, appliances and material
ED Decision 2012/020/R
1.
The person producing under Subpart F is responsible for determining and applying acceptance
standards for physical condition, configuration status and conformity, as appropriate, of raw
materials, subcontracted works, and supplied products, parts, appliances or material, whether
to be used in production or delivered to customers as spare parts. This responsibility also
includes BFE (Buyer Furnished Equipment) items.
2.
Control may be based upon use of the following techniques, as appropriate:
3.
2.1
first article inspection, including destruction if necessary, to verify that the article
conforms to the applicable data for new production line or new supplier,
2.2
incoming inspections and tests of supplied parts or appliances that can be satisfactorily
inspected on receipt,
2.3
identification of incoming documentation and data relevant to the showing of conformity
to be included in the certification documents,
2.4
any additional work, tests or inspection which may be needed for parts or appliances
which are to be delivered as spare parts and which are not subject to the checks normally
provided by subsequent production or inspection stages.
The person producing under Part 21 Subpart F may rely upon an EASA Form 1 issued in
accordance with Part 21 if provided as evidence of conformity with applicable design data
For suppliers not holding a POA the inspection system of the person producing under Part 21 Subpart F
should establish a system for control of incoming materials and bought or subcontracted items which
provides for inspections and tests of such items by the person producing under Part 21 Subpart F at
the supplier’s facility, if the item cannot or will not be completely inspected upon receipt.
GM 21.A.126(a)(2) Production inspection system – Identification of
incoming materials and parts
ED Decision 2012/020/R
All parts and materials coming from external parties should be identified and inspected to ascertain
that they have not been damaged during transport or unpacking, that the incoming parts and
materials have the appropriate and correct accompanying documentation and that the configuration
and condition of the parts or materials is as laid down in that documentation.
Only on completion of these checks and of any incoming further verifications laid down in the
procurement specification, may the part or material be accepted for warehousing and used in
production.
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This acceptance should be certified by an inspection statement.
A suitable recording system should allow reconstruction at any time of the history of every material
or part.
The areas where the incoming checks are carried out and the materials or parts are stored pending
completion of the checks should be physically segregated from other departments.
GM No 1 to 21.A.126(a)(3) Production inspection system – List of
specifications
ED Decision 2012/020/R
It is the responsibility of:
1.
The designer, to define all necessary processes, techniques and methods to be followed during
manufacture (21.A.31) and this information will be provided as part of the applicable design
data.
2.
The manufacturer, to ensure that all processes are carried out strictly in accordance with the
specifications provided as part of the applicable design data.
GM No 2 to 21.A.126(a)(3) Production inspection system – Means
of checking of the production processes
ED Decision 2012/020/R
The Production Inspection System should be provided with appropriate means of checking that
production processes, whether performed by the person producing under Part 21 Subpart F or by subcontractors under its control, are carried out in accordance with applicable data, including:
1.
A system for the control and authorised amendment of data provided for the production,
inspection and test to ensure that it is complete and up-to-date at the point of use
2.
Availability of personnel with suitable qualification, experience, and training for each required
production, inspection, and test task. Special attention should be paid to tasks requiring
specialised knowledge and skill, e.g., NDT/NDI, welding...
3.
A working area where the working conditions and environment are controlled as appropriate in
respect of: cleanliness, temperature, humidity, ventilation, lighting, space/access, protection
against noise and pollution
4.
Equipment and tools sufficient to enable all specified tasks to be accomplished in a safe and
effective manner without detrimental effect on the items under production. Calibration control
of equipment and tools which affect critical dimensions and values must demonstrate
compliance with, and be traceable to, recognised national or international standards.
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GM 21.A.126(a)(4) Production inspection system – Applicable
design/production data procedures
ED Decision 2012/020/R
1.
When a person producing under Part 21 Subpart F is developing its own manufacturing data
from the design data package delivered by a Design holder, procedures should demonstrate the
correct transcription of the original design data.
2.
Procedures should define the manner in which applicable design data is used to issue and
update the production/inspection data, which determines the conformity of products, parts,
appliances and materials. The procedure should also define the traceability of such data to each
individual product, part, appliance or material for the purpose of stating the condition for safe
operation and for issuing a Statement of Conformity.
3.
During execution, all works should be accompanied by documentation giving either directly or
by means of appropriate references, the description of the works as well as the identification
of the personnel in charge of inspection and execution tasks for each of the different work
phases.
GM 21.A.126(b)(1) Production inspection system – Inspection of
parts in process
ED Decision 2012/020/R
The purpose of the Production Inspection System is to check at suitable points during production and
provide objective evidence that the correct specifications are used, and that processes are carried out
strictly in accordance with the specification.
During the manufacturing process, each article should be inspected in accordance with a plan which
identifies the nature of all inspections required and the production stages at which they occur. The
plan should also identify any particular skills or qualification required of person(s) carrying out the
inspections (e.g., NDT personnel). A copy of the plan should be included in, or referenced by, the
manual required by 21.A.125A(b).
If the parts are such that, if damaged, they could compromise the safety of the aircraft, additional
inspections for such damage should be performed at the completion of each production stage.
GM 21.A.126(b)(2) Production inspection system – Suitable storage
and protection
ED Decision 2012/020/R
1.
Storage areas should be protected from dust, dirt, or debris, and adequate blanking and
packaging of stored items should be practised.
2.
All parts should be protected from extremes of temperatures and humidity and, where needed,
temperature-controlled or full air-conditioned facilities should be provided.
3.
Racking and handling equipment should be provided such as to allow storage, handling and
movement of parts without damage.
4.
Lighting should be such as to allow safe and effective access and handling, but should also cater
for items which are sensitive to light e.g., rubber items.
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SECTION A — TECHNICAL
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5.
Care should be taken to segregate and shield items which can emit fumes (e.g., wet batteries),
substances or radiation (e.g., magnetic items) which are potentially damaging to other stored
items.
6.
Procedures should be in place to maintain and record stored parts identities and batch
information.
7.
Access to storage areas should be restricted to authorised personnel who are fully trained to
understand and maintain the storage control arrangements and procedures.
8.
Provisions should be made for segregated storage of non-conforming items pending their
disposition (see GM 21.A.126(b)(4)).
GM 21.A.126(b)(3) Production inspection system – Use of derived
data instead of original design data
ED Decision 2012/020/R
Where derived data, e.g., worksheets, process sheets, fabrication/inspection instructions, etc., is used
instead of original design drawings, documents identification and control procedures should be used
to ensure that the documentation in use is always accurate and current.
GM 21.A.126(b)(4) Production inspection system – Segregation of
rejected material
ED Decision 2012/020/R
All materials and parts which have been identified at any stage in the manufacturing process as not
conforming to the specific working and inspection instructions must be suitably identified by clearly
marking or labelling, to indicate their non-conforming status.
All such non-conforming material or parts should be removed from the production area and held in a
restricted access segregated area until an appropriate disposition is determined in accordance with
21.A.126(b)(5).
GM 21.A.126(b)(5) Production inspection system – Engineering and
manufacturing review procedure
ED Decision 2012/020/R
1.
The procedure should permit to record the deviation, to present it to the Design holder under
the provisions of 21.A.122, and to record the results of the review and actions taken
consequently as regards the part/product.
2.
Any unintentional deviation from the manufacturing/inspection data should be recorded and
handled in accordance with Part 21 Section A Subpart D or E as changes to the approved design.
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GM 21.A.126(b)(6) Production inspection system – Recording and
record keeping
ED Decision 2012/020/R
1.
Records within a production environment satisfy two purposes. Firstly, they should, during the
production process to ensure that products, parts, or appliances are in conformity with the
controlling data throughout the manufacturing cycle. Secondly, certain records of milestone
events are needed to subsequently provide objective evidence that all prescribed stages of the
production process have been satisfactorily completed and that compliance with the applicable
design data has been achieved.
Therefore, the person producing under Part 21 Subpart F should implement a system for the
compilation and retention of records during all stages of manufacture, covering short-term and
long-term records appropriate to the nature of the product and its production processes.
The management of such information should be subject to appropriate documented
procedures in the Manual required by 21.A.125A(b).
All forms of recording media are acceptable (paper, film, magnetic ...) provided they can meet
the required duration for archiving under the conditions provided.
2.
The related procedures should:
2.1
Identify records to be kept.
2.2
Describe the organisation of and responsibility for the archiving system (location,
compilation, format) and conditions for access to the information (e.g., by product,
subject).
2.3
Control access and provide effective protection from deterioration or accidental damage.
2.4
Ensure continued readability of the records.
2.5
Demonstrate to the competent authority proper functioning of the records system.
2.6
Clearly identify the persons involved in conformity determination.
2.7
Define an archiving period for each type of data taking into account importance in
relation to conformity determination subject to the following:
2.8
a)
Data which supports conformity of a product, part, or appliance should be kept for
not less than three years from the issue date of the related Statement of
Conformity or Authorised Release Certificate.
b)
Data considered essential for continuing airworthiness should be kept throughout
the operational life of the product, part or appliance.
Data related to supplied parts may be retained by the supplier if the supplier has a system
agreed under Part 21 Section A Subpart F by the competent authority. The manufacturer
should, in each case, define the archiving period and satisfy himself or herself and the
competent authority that the recording media are acceptable.
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SECTION A — TECHNICAL
REQUIREMENTS
21.A.127 Tests: aircraft
Regulation (EU) No 748/2012
(a)
Each manufacturer of an aircraft manufactured under this Subpart shall establish an approved
production ground and flight test procedure and check-off forms, and in accordance with those
forms, test each aircraft produced, as a means of establishing relevant aspects of compliance
with point 21.A.125A(a).
(b)
Each production test procedure shall include at least the following:
1.
a check on handling qualities;
2.
a check on flight performance (using normal aircraft instrumentation);
3.
a check on the proper functioning of all aircraft equipment and systems;
4.
a determination that all instruments are properly marked, and that all placards and
required flight manuals are installed after flight test;
5.
a check of the operational characteristics of the aircraft on the ground;
6.
a check on any other items peculiar to the aircraft being tested.
GM 21.A.127 Approved production ground and flight tests
ED Decision 2012/020/R
The production ground and flight tests for new aircraft will be specified by the aircraft design
organisation.
21.A.128 Tests: engines and propellers
Regulation (EU) No 748/2012
Each manufacturer of engines, or propellers manufactured under this Subpart shall subject each
engine, or variable pitch propeller, to an acceptable functional test as specified in the type-certificate
holder's documentation, to determine if it operates properly throughout the range of operation for
which it is type-certificated, as a means of establishing relevant aspects of compliance with point
21.A.125A(a).
GM No 1 to 21.A.128 Acceptable functional test – Engines
ED Decision 2012/020/R
The functional test required for a new engine will be specified by the engine design organisation and
will normally include at least the following:
1.
Break-in runs that include a determination of fuel and oil consumption and a determination of
power characteristics at rated maximum continuous power or thrust and, if applicable, at rated
take-off power or thrust.
2.
A period of operation at rated maximum continuous power or thrust. For engines having a rated
take-off power or - thrust, part of that period should be at rated take-off power or - thrust.
The test equipment used for the test run should be capable of output determination of accuracy
sufficient to assure that the engine output delivered complies with the specified rating and operation
limitations.
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GM No 2 to 21.A.128 Acceptable functional test – Variable pitch
propellers
ED Decision 2012/020/R
The functional tests required for a new propeller will be specified by the propeller design organisation
and should normally include a number of complete cycles of control throughout the propeller pitch
and rotational speed ranges. In addition, for feathering and/or reversing propellers, several cycles of
feathering operation and reversing operation from the lowest normal pitch to the maximum reverse
pitch, should normally be required.
GM No 3 to 21.A.128 Acceptable functional test – Engines and
Propellers
ED Decision 2012/020/R
After functional test, each engine or propeller should be inspected to determine that the engine or
propeller is in condition for safe operation. Such inspection will be specified by the design organisation
and should normally include internal inspection and examination. The degree of internal inspections
will normally be determined on the basis of the positive results of previous inspections conducted on
the first production engines, and on the basis of service experience.
21.A.129 Obligations of the manufacturer [applicable until 6 March
2023] / 21.A.129 Obligations of the production organisation
[applicable from 7 March 2023 - Regulation (EU) 2022/201]
Regulation (EU) No 748/2012
Each manufacturer of a product, part or appliance being manufactured under this Subpart shall:
(a)
make each product, part or appliance available for inspection by the competent authority;
(b)
maintain at the place of manufacture the technical data and drawings necessary to determine
whether the product conforms to the applicable design data;
(c)
maintain the production inspection system that ensures that each product conforms to the
applicable design data and is in condition for safe operation;
(d)
provide assistance to the holder of the type-certificate, restricted type-certificate or design
approval in dealing with any continuing airworthiness actions that are related to the products,
parts or appliances that have been produced;
(e)
establish and maintain an internal occurrence reporting system in the interest of safety, to
enable the collection and assessment of occurrence reports in order to identify adverse trends
or to address deficiencies, and to extract reportable occurrences. This system shall include
evaluation of relevant information relating to occurrences and the promulgation of related
information;
[applicable until 6 March 2023]
(e)
comply with Subpart A of this Section.
[applicable from 7 March 2023 - Regulation (EU) 2022/201]
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(f)
Annex I
SECTION A — TECHNICAL
REQUIREMENTS
1.
report to the holder of the type-certificate, restricted type-certificate or design approval,
all cases where products, parts or appliances have been released by the manufacturer
and subsequently identified to have deviations from the applicable design data, and
investigate with the holder of the type-certificate, restricted type-certificate or design
approval to identify those deviations which could lead to an unsafe condition;
2.
report to the Agency and the competent authority of the Member State the deviations
which could lead to an unsafe condition identified according to point (1). Such reports
shall be made in a form and manner established by the Agency under point 21.A.3A(b)(2)
or accepted by the competent authority of the Member State;
3.
where the manufacturer acts as supplier to another production organisation, report also
to that other organisation all cases where it has released products, parts or appliances to
that organisation and subsequently identified them to have possible deviations from the
applicable design data.
[Point (f) applicable until 6 March 2023]
GM 21.A.129(a) Availability for inspection by the competent
authority
ED Decision 2012/020/R
Each product, part or appliance should be made available for inspection at any time at the request of
the competent authority.
It is recommended that a pre-defined plan of inspection points be established and agreed with the
competent authority to be used as a basis for such inspections.
The manufacturer should provide such documentation, tools, personnel, access equipment etc. as
necessary to enable the competent authority to perform the inspections.
AMC No 1 to 21.A.129(c) Obligations of the manufacturer –
Conformity of prototype models and test specimens
ED Decision 2012/020/R
21.A.33 requires determination of conformity of prototype models and test specimens to the
applicable design data. For a complete aircraft a ‘conformity document’, that has to be validated by
the competent authority, should be provided as part of the assistance to the design approval
applicant. For products other than a complete aircraft, and for parts and appliances, an EASA Form 1
validated by the competent authority may be used as a conformity document as part of the assistance
to the design approval applicant.
AMC No 2 to 21.A.129(c) Obligations of the manufacturer –
Conformity with Applicable Design Data
ED Decision 2012/020/R
Individual configurations are often based on the needs of the customer and improvements or changes
which may be introduced by the type-certificate holder. There are also likely to be unintentional
divergences (concessions or non-conformances) during the manufacturing process. All these changes
are required to have been approved by the design approval applicant/holder, or when necessary by
the Agency.
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AMC No 3 to 21.A.129(c) Obligations of the manufacturer –
Condition for safe operation
ED Decision 2012/020/R
Before issue of the Statement of Conformity to the competent authority the manufacturer under this
Subpart should make an investigation so as to be satisfied in respect to each of the items listed below.
The documented results of this investigation should be kept on file by the manufacturer. Certain of
these items may be required to be provided (or made available) to the operator or owner of the
aircraft, and, for validation of the statement of conformity, to the competent authority.
1.
Equipment or modifications which do not meet the requirements of the state of manufacture
but have been accepted by the competent authority of the importing country.
2.
Identification of products, parts or appliances which:
2.1
Are not new
2.2
Are furnished by the buyer or future operator (including those identified in 21.A.801 and
805).
3.
Technical records which identify the location and serial numbers of components that have
traceability requirements for continued airworthiness purposes including those identified in
21.A.801 and 21.A.805.
4.
Log book and a modification record book for the aircraft as required by the Agency.
5.
Log books for products identified in 21.A.801 installed as part of the type design as required by
the Agency.
6.
A weight and balance report for the completed aircraft.
7.
A record of missing items or defects which do not affect airworthiness these for example could
be furnishing or BFE (Items may be recorded in a technical log or other suitable arrangement
such that the operator and Agency are formally aware).
8.
Product support information required by other associated implementing rules and CS or GM,
such as a Maintenance Manual, a Parts Catalogue, or MMEL all of which are to reflect the actual
build standard of the particular aircraft. Also an Electrical load analysis and a wiring diagram.
9.
Records which demonstrate completion of maintenance tasks appropriate to the test flight
flying hours recorded by the aircraft. These records should show the relationship of the
maintenance status of the particular aircraft to the manufacturers recommended maintenance
task list and the Maintenance Review Board (MRB) document/report.
10.
Details of the serviceability state of the aircraft in respect of, a) the fuel and oil contents, b)
provision of operationally required emergency equipment such as life rafts, etc.
11.
Details of the approved interior configuration if different from that approved as part of the type
design.
12.
An approved Flight Manual which conforms to the build standard and modification state of the
particular aircraft should be available.
13.
Show that inspections for foreign objects at all appropriate stages of manufacture have been
satisfactorily performed.
14.
The registration has been marked on the exterior of the aircraft as required by national
legislation. Where required by national legislation fix a fireproof owners nameplate.
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15.
Where applicable, there should be a certificate for noise and, for the aircraft radio station.
16.
The installed compass and or compass systems have been adjusted and compensated and a
deviation card displayed in the aircraft.
17.
Software criticality list.
18.
A record of rigging and control surface movement measurements.
19.
Details of installations which will be removed before starting commercial air transport
operations (e.g., ferry kits for fuel, radio or navigation).
20.
List of all applicable Service Bulletins and airworthiness directives that have been implemented.
21.A.130 Statement of conformity
Regulation (EU) 2021/1088
(a)
Each manufacturer of a product, part or appliance manufactured under this Subpart shall raise
a statement of conformity, an EASA Form 52 (see Appendix VIII), for complete aircraft, or
EASA Form 1 (see Appendix I), for other products, parts or appliances. This statement shall be
signed by an authorised person who holds a responsible position in the manufacturing
organisation.
(b)
A statement of conformity shall include all of the below:
(c)
1.
for each product, part or appliance, a statement that the product, part or appliance
conforms to the approved design data and is in condition for safe operation;
2.
for each aircraft, a statement that the aircraft has been ground- and flight-checked in
accordance with point 21.A.127(a);
3.
for each engine, or variable pitch propeller, a statement that the engine or variable pitch
propeller has been subjected by the manufacturer to a final functional test in accordance
with point 21.A.128;
4.
additionally, in the case of environmental protection requirements:
(i)
a statement that the completed engine is in compliance with the applicable engine
exhaust emissions requirements on the date of manufacture of the engine, and
(ii)
a statement that the completed aeroplane is in compliance with the applicable CO2
emissions requirements on the date its first certificate of airworthiness is issued.
Each manufacturer of such a product, part or appliance shall:
1.
upon the initial transfer by it of the ownership of such a product, part or appliance; or
2.
upon application for the original issue of an aircraft certificate of airworthiness; or
3.
upon application for the original issue of an airworthiness release document for an
engine, a propeller, a part or appliance,
present a current statement of conformity, for validation by the competent authority.
(d)
The competent authority shall validate by counter-signature the statement of conformity if it
finds after inspection that the product, part or appliance conforms to the applicable design data
and is in condition for safe operation.
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GM1 21.A.130, 21.A.163 and 21.A.165 Performance of tasks in real
time for the issuance of an ‘EASA Form 1’ for prototype and new
parts, appliances and products other than complete aircraft, using
information and communication technologies (ICT)
ED Decision 2021/007/R
This GM provides technical guidance on the use of remote ICT to support the issuance of an ‘EASA
Form 1’ for prototype and newly produced parts, appliances and products other than complete
aircraft.
It is the responsibility of the production organisation to assess whether the use of remote ICT
constitutes a suitable alternative to the physical inspection of the part, appliance or product in
accordance with the applicable requirements. The production organisation that intends to use the
remote ICT for such purposes should first discuss the feasibility aspects with its competent authority.
(a)
Terminology
In the context of this GM, the following terminology is used:
— ‘issue of an EASA Form 1’ means the issuance of an EASA Form 1 under Part 21
Subpart G by a certifying staff, raise an EASA Form 1 under Part 21 Subpart F by an
authorised person, and the validation of an EASA Form 1 under Part 21 Subpart F by a
competent authority inspector, except in the case of issuance of an EASA Form 1 for the
correction of error(s) on a previously issued certificate and for the recertification of an
item from ‘prototype’ to ‘new’ provided that the design data has not changed;
— ‘authorised staff’ means certifying staff as defined in Part 21 Subpart G, and ‘authorised
person’ and ‘competent authority inspector’ as defined in Part 21 Subpart F;
— ‘item’ means any part, appliance or product other than a complete aircraft;
— ‘applicable design data’ means non-approved design data for a prototype item and
approved design data for a newly produced item;
— ‘task’ means any inspection, test and/or verification, as described in a documented
procedure, which is needed to be performed by an authorised staff before signing an
EASA Form 1;
— ‘remote ICT’ means any real-time video and audio communication tools using
information and communication technologies (ICT) whose aim is to enable the
performance of the task(s) by the authorised staff from a location different from that
where the item is located (on-site).
(b)
Regulatory context
The following entities may issue an EASA Form 1 for produced items in order to certify their
conformity to the applicable design data and, for new items, their condition for safe operation:
— the holder of a letter of agreement (LoA) that is issued in accordance with Part 21
Subpart F (refer to point 21.A.130(a));
— the competent authority in the context of Part 21 Subpart F (refer to point 21.A.130(d));
— the holder of a production organisation approval (POA) in accordance with Part 21
Subpart G (refer to point 21.A.163(c)).
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An EASA Form 1 has to be issued by appropriately qualified authorised staff. Part 21 does not
require authorised staff to be on-site when issuing an EASA Form 1, nor how the production
organisation and the competent authority shall determine whether the part/appliance/product
other than a complete aircraft conforms to the applicable design data and, for a new item, is in
a condition for safe operation. These should be detailed in a documented procedure accepted
by the competent authority.
Part 21 requires:
— in point 21.A.130(d) that the competent authority validate the EASA Form 1 following
inspections performed in accordance with 21.B.135(b) if it finds after the inspection
that the product, part or appliance conforms to the applicable design data and is in
condition for safe operation;
— in point 21.A.165(c) that the POA holder has to determine that:
— other products, parts or appliances are complete and conform to the approved
design data and are in a condition for safe operation before issuing an EASA Form 1;
— other products, parts or appliances conform to the applicable data before issuing an
EASA Form 1.
Typically, compliance with these requirements is ensured through the on-site presence of the
authorised staff in order to guarantee they have appropriate access to the item, as needed.
However, compliance with these requirements may be also ensured in certain circumstances,
determined as per the considerations described in point (c) below, by remotely conducting the
tasks which are needed before the issuance of an EASA Form 1 by the use of remote ICT. The
following considerations should be used as guidelines when the on-site presence of the
authorised staff is to be replaced by virtual presence, using remote ICT.
(c)
The use of remote ICT to support the issuance of an EASA Form 1
Remote ICT may have limitations that could render it unsuitable for some applications.
Accordingly, careful consideration and risk management should be applied when determining
when to use remote ICT. These considerations, listed below, are however not exhaustive and
should not be treated as a checklist.
(1)
General considerations
— As an overarching principle, it needs to be determined whether the nature of the
tasks to be performed by the authorised staff allows the use of remote ICT.
— The facility where the item is located:
— should be referred to in EASA Form 65 or EASA Form 55, directly or indirectly
by reference to the corresponding section of the manual or production
organisation exposition (POE); or
— for a POA, should be a facility from where a POE procedure related to point
21.A.139(b)(1)(xv) authorises the issuance of an EASA Form 1.
— The complexity, novelty and safety criticality of the item to be released with the EASA
Form 1 should be taken into account.
— The level of competence and experience of the personnel in the use of the particular
procedures and equipment that will be used to perform the tasks before issuing EASA
Form 1.
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— Previous experience of the organisation / confidence in the organisation’s inspection
system / quality system / management system.
— The appropriateness of the inspection and test instruments and/or equipment,
especially if used to evaluate qualitative aspects of a product, part or appliance.
(2)
Equipment and set-up considerations
— The suitability of video resolution, fidelity, and field of view for the task being
performed.
— The need for multiple cameras, imaging systems or microphones, and whether the
person that performs or witnesses the tasks can switch between them, or direct them
to be switched, and has the possibility to stop the process, ask a question, move the
equipment, etc.
— The controllability of viewing direction, zoom, and lighting.
— The appropriateness of audio fidelity for the evaluation being conducted.
— Whether real-time, uninterrupted communication between the person(s) authorised
to remotely witness the activity (authorised staff) and the personnel performing it
exists at the location where the item is located.
— The need for unique testing devices or equipment (for example, fast-frame cameras,
special lighting conditions, sensitive listening devices, mobile phones with cameras
for HD video calls).
— Whether personnel have been adequately trained in the proper set-up, validation
and use of the technology, tools and/or equipment to be used.
— The need for the recording of audio and video data, as well for its retention or for the
retention of other information.
(3)
Cybersecurity considerations
There are cases where the facilities where the tasks have to be performed are subject to
strict security limitations. When using remote ICT for the tasks needed before issuing an
EASA Form 1, it is the responsibility of the organisation to provide an equivalent level of
security, therefore the person that is responsible for IT security within the organisation
should concur to the ICT technology before proceeding.
(4)
Documenting the use of the remote ICT
The documented processes (procedures) developed by the holder of a letter of
agreement (LoA) or a POA should be accepted by the competent authority, and should
describe the following:
— the risk assessment process required to determine the appropriateness of the
remote ICT taking into account the above-mentioned considerations;
— the tasks to be performed, including preparation activities, inspections, tests,
verifications to be done, personnel involved in the remote ICT activities and their
level of competence;
— that it is necessary to guarantee that authorised staff have access to all necessary
data (e.g. drawings, schematics, datasheets, etc.) they require in order to determine
that the item conforms to the applicable design data, and how this can be ensured;
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— how remote ICT will be used in real time (not pre-recorded) so that authorised staff
may direct the performance of the tasks as if it were conducted in-person, on-site,
with the aid of the equipment or the personnel supporting the activity at the remote
location;
— the procedures for conducting a reinspection in case the equipment malfunctions or
the process fails to yield acceptable results; a reinspection using remote ICT may be
accomplished after correcting the malfunction or process, or by an actual on-site
inspection;
— how authorised staff should record and communicate any difficulties or concerns
regarding the process so that the organisation can improve its programme;
— how the use of the remote ICT will be documented in the required records; and
— how the organisation’s IT security is ensured throughout the remote ICT process
(data protection and intellectual property of the organisation also need to be
safeguarded).
AMC No 1 to 21.A.130(b) Statement of conformity for complete
aircraft
ED Decision 2019/018/R
1.
PURPOSE AND SCOPE
The description under this AMC refers only to the use of the aircraft Statement of Conformity
issued under Part 21 Section A Subpart F. Statement of Conformity under Part 21 Subpart F for
products other than complete aircraft, and for parts and appliances is described in AMC No 2 to
21.A.130(b).
Use of the aircraft Statement of Conformity issued by an approved production organisation is
described in 21.A.163(b) under Part 21 Section A Subpart G and the completion instructions are
to be found in the Appendices to Part 21.
The purpose of the aircraft Statement of Conformity (EASA Form 52) issued under Part 21
Section A Subpart F is to present to the competent authority a complete aircraft. The competent
authority only validates the Statement of Conformity if it finds, as described in 21.A.130 and its
associated GM, that the aircraft conforms with the type design and is in condition for safe
operation.
2.
GENERAL
The Statement of Conformity must comply with the format attached including block numbers
and the location of each Block. The size of each Block may however be varied to suit the
individual application, but not to the extent that would make the Statement of Conformity
unrecognisable. If in doubt consult the competent authority.
The Statement of Conformity must either be pre-printed or computer generated but in either
case the printing of lines and characters must be clear and legible. Pre-printed wording is
permitted in accordance with the attached model but no other certification statements are
permitted.
Statements of Conformity must be issued in one or more of the official language(s) of the issuing
competent authority with translations in English shown below, if required. Completion may be
either machine/computer printed or hand-written using block letters to permit easy reading.
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A copy of the Statement of Conformity and all referenced attachments are to be retained by
the manufacturer. A copy of the validated Statement of Conformity is to be retained by the
competent authority.
3.
COMPLETION OF THE AIRCRAFT STATEMENT OF CONFORMITY BY THE ORIGINATOR
There must be an entry in all Blocks to make the document a valid Statement.
A Statement of Conformity must not be issued for validation by the competent authority, unless
the design of the aircraft and its installed products are approved.
The information required in Blocks 9, 10, 11, 12, 13 and 14 may be by reference to separate
identified documents held on file by the manufacturer, unless the competent authority agrees
otherwise.
This Statement of Conformity is not intended to provide for the complete equipment fit
required by the applicable operational rules. However, some of these individual items may be
included in Block 10 or in the approved type design. Operators are therefore reminded of their
responsibility to ensure compliance with the applicable operational rules for their own
particular operation.
Block 1
Enter name of the State of manufacture.
Block 2
The competent authority under which authority the Statement of Conformity is
issued.
Block 3
A unique serial number should be pre-printed in this Block for Statement control
and traceability purposes. Except that in the case of a computer generated
document the number need not be pre-printed where the computer is
programmed to produce and print a unique number.
Block 4
The full name and location address of the manufacturer issuing the statement. This
Block may be pre-printed. Logos, etc., are permitted if the logo can be contained
within the Block.
Block 5
The aircraft type in full as defined in the type-certificate and its associated data
sheet.
Block 6
The type-certificate reference numbers and issue for the subject aircraft.
Block 7
If the aircraft is registered then this mark will be the registration mark. If the
aircraft is not registered then this will be such a mark that is accepted by the
competent authority of the Member State and, if applicable, by the competent
authority of a third country.
Block 8
The identification number assigned by the manufacturer for control and
traceability and product support. This is sometimes referred to as a Manufacturers
Serial No or Constructors No.
Block 9
The engine and propeller type(s) in full as defined in the relevant type-certificate
and its associated data sheet. Their manufacturer identification No and associated
location should also be shown.
Block 10
Approved design changes to the Aircraft Definition.
Block 11
A listing of all applicable airworthiness directives (or equivalent) and a declaration
of compliance, together with a description of the method of compliance on the
subject individual aircraft including products and installed parts, appliances and
equipment. Any future compliance requirement time should be shown.
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Block 12
Approved unintentional deviation to the approved type design sometimes referred
to as concessions, divergences, or non-conformances.
Block 13
Only agreed exemptions, waivers or derogations may be included here..
Block 14
Remarks: Any statement, information, particular data or limitation which may
affect the airworthiness of the aircraft. If there is no such information or data,
state: ‘NONE’. If the competent authority has endorsed a CO2 emissions production
cut-off exemption, make the following record: ‘Aeroplane exempted from the
applicability of paragraph 2.1.1 [x] as referenced in the 1st Edition of Annex 16,
Volume III, Part II, Chapter 2 (July 2017).’
Block 15
Enter ‘Certificate of Airworthiness’ or ‘Restricted Certificate of Airworthiness’ for
the Certificate of Airworthiness requested.
Block 16
Additional requirements such as those notified by an importing country should be
noted in this Block.
Block 17
Validity of the Statement of Conformity is dependent on full completion of all
Blocks on the form. A copy of the flight test report together with any recorded
defects and rectification details should be kept on file by the manufacturer. The
report should be signed as satisfactory by the appropriate certifying staff and a
flight crew member, e.g., test pilot or flight test engineer. The flight tests
performed are those required by 21.A.127 and GM 21.A.127, to ensure that the
aircraft conforms to the applicable design data and is in condition for safe
operation.
The listing of items provided (or made available) to satisfy the safe operation
aspects of this statement should be kept on file by the manufacturer.
Block 18
The Statement of Conformity may be signed by the person authorised to do so by
the manufacturer in accordance with 21.A.130(a). A rubber stamp signature should
not be used.
Block 19
The name of the person signing the certificate should be typed or printed in a
legible form.
Block 20
The date the Statement of Conformity is signed must be given.
Block 21
For production under Part 21 Subpart F, state ‘NOT APPLICABLE’
Additionally, for production under Part 21 Section A Subpart F, this Block must include
validation by the competent authority. For this purpose, the validation statement below should
be included in the Block 21 itself, and not referred in a separate document. The statement can
be pre-printed, computer generated or stamped, and should be followed by the signature of
the representative of the competent authority validating the certificate, the name and the
position/identification of such representative of the competent authority, and the date of such
validation by the competent authority.
VALIDATION STATEMENT:
‘After due inspection the identify the issuing competent authority is satisfied that this
document constitutes an accurate and valid Statement of Conformity in accordance with
Part 21 Section A Subpart F.’
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AMC2 21.A.130(b) Statement of Conformity for Products (other
than complete aircraft), parts, appliances and materials — The
Authorised Release Certificate (EASA Form 1)
ED Decision 2021/011/R
A.
INTRODUCTION
This AMC relates specifically to the use of the EASA Form 1 for manufacturing purposes under
Part 21 Subpart F. It can be used as a supplement to the completion instructions in Part 21,
Appendix I which covers the use of the EASA Form 1.
1.
PURPOSE AND USE
The EASA Form 1 is prepared and signed by the manufacturer. For production under Part 21
Subpart F it is presented for validation by the competent authority.
Under Subpart F the certificate may only be issued by the competent authority.
A mixture of items released under Subpart G and under Subpart F of Part 21 is not permitted
on the same certificate.
2.
GENERAL FORMAT
Refer to Part 21 Appendix I.
3.
COPIES
Refer to Part 21 Appendix I.
The Part 21 Subpart F originator must retain a copy of the certificate in a form that allows
verification of original data.
4.
ERROR(S) ON THE CERTIFICATE
If an end user finds an error(s) on a certificate, they must identify it/them in writing to the
originator. The originator may prepare and sign a new certificate for validation by the
competent authority if they can verify and correct the error(s).
The new certificate must have a new tracking number, signature and date.
The request for a new certificate may be honoured without re-verification of the item(s)
condition. The new certificate is not a statement of current condition and should refer to the
previous certificate in block 12 by the following statement: ‘This certificate corrects the error(s)
in block(s) [enter block(s) corrected] of the certificate [enter original tracking number] dated
[enter original issuance date] and does not cover conformity/condition/release to service.’ Both
certificates should be retained according to the retention period associated with the first.
5.
COMPLETION OF THE CERTIFICATE BY THE ORIGINATOR
Refer to Part 21 Appendix I for completion of the certificate. Specific Part 21 Subpart F
instructions that differ from the Part 21 Appendix I are provided below.
Block 1 –
Approving competent authority/Country
State the name and country of the competent authority under whose jurisdiction
this certificate is issued. When the competent authority is the Agency, ‘EASA’ must
be stated.
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Block 12 – Remarks
Examples of conditions which would necessitate statements in Block 12 are:
a)
When the certificate is used for prototype purposes, the following statement
must be entered at the beginning of Block 12:
‘NOT ELIGIBLE FOR INSTALLATION ON IN-SERVICE TYPE-CERTIFICATED
AIRCRAFT’.
b)
Re-certification of items from ‘prototype’ (conformity only to non-approved
data) to ‘new’ (conformity to approved data and in a condition for safe
operation) once the applicable design data is approved.
The following statement must be entered in Block 12:
RE-CERTIFICATION OF ITEMS FROM ‘PROTOTYPE’ TO ‘NEW’:
THIS DOCUMENT CERTIFIES THE APPROVAL OF THE DESIGN DATA [insert
TC/STC number, revision level], DATED [insert date if necessary for
identification of revision status], TO WHICH THIS ITEM (THESE ITEMS) WAS
(WERE) MANUFACTURED.
c)
When a new certificate is issued to correct error(s), the following statement
must be entered in Block 12:
‘THIS CERTIFICATE CORRECTS THE ERROR(S) IN BLOCK(S) [enter block(s)
corrected] OF THE CERTIFICATE [enter original tracking number] DATED
[enter
original
issuance
date]
AND
DOES
NOT
COVER
CONFORMITY/CONDITION/RELEASE TO SERVICE’.
d)
In case of an engine, when the competent authority has granted an
exemption from the environmental protection requirements, the following
statement must be entered in block 12:
‘ENGINE EXEMPTED FROM [REFERENCE TO THE TYPE OF EMISSION]
EMISSIONS ENVIRONMENTAL PROTECTION REQUIREMENT’
Additionally, for production under Subpart F, this block must include the Statement
of Conformity by the manufacturer under 21.A.130. For this purpose, the
appropriate Block 13a statement must be included in the block 12 and not
referenced in a separate document. The statement may be pre-printed, computer
generated or stamped, and must be followed by the signature of the
manufacturer’s authorised person under 21.A.130(a), the name and the
position/identification of such person and the date of the signature.
Block 13b – Authorised Signature
This space shall be completed with the signature of the competent authority
representative validating the Block 12 manufacturer Statement of Conformity,
under 21.A.130(d). To aid recognition, a unique number identifying the
representative may be added.
Block 13c – Approval/Authorisation Number
Enter the authorisation number reference. This number or reference is given by
the competent authority to the manufacturer working under Part 21 Subpart F.
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AMC1 21.A.130(b)(4)(i) Applicable engine exhaust emissions
requirements
ED Decision 2021/011/R
This determination is made according to the data provided by the engine type-certificate holder. It
should be noted that the competent authority has the possibility to grant exemptions from these
requirements as noted in Chapter 2, paragraph 2.1.1 and Chapter 4, paragraph 4.1.1 of Part III of
Volume II of Annex 16 to the Chicago Convention.
When such an exemption is granted, the competent authority:
— takes into account the number of exempted engines that will be produced and their impact on
the environment;
— considers imposing a time limit on the production of such engines; and
— issues an exemption document.
The Agency establishes and maintains a register, containing at least the engine serial number, and
makes it publicly available.
ICAO Doc 9501 ‘Environmental Technical Manual’ Volume II provides guidance on the issuing of
exemptions.
GM1 21.A.130(b)(4)(i) Definitions of engine type certification date
and production date
ED Decision 2021/011/R
Volume II of Annex 16 to the Chicago Convention contains three different references to applicability
dates:
1.
the ‘date of manufacture for the first individual production model’, which refers to the date
when the type certificate is issued for the engine type or model;
2.
the ‘date of application for a type certificate’, which refers to the application date to the
certificating authority of the State of Design of the engine type certification; and
3.
the ‘date of manufacture for the individual engine’, which refers to the production date of a
specific engine serial number (date of EASA Form 1).
The third reference refers to the date of the first engine EASA Form 1 issued after the completion of
the engine production pass-off test.
The third reference is used in the application of the engine emissions production cut-off requirement,
which specifies a date after which all in-production engine models must meet a certain emissions
standard.
21.A.130(b)(4)(i) includes the production requirements for engine exhaust emissions.
ICAO Doc 9501 ‘Environmental Technical Manual’ Volume II provides guidance on these applicability
dates.
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AMC1 21.A.130(b)(4)(ii) Applicable aeroplane CO2 emissions
requirements
ED Decision 2021/011/R
This determination is made according to the data provided by the aeroplane type-certificate holder.
This data should allow the determination of whether the aeroplane complies with the CO2 emissions
applicability requirements in Chapter 2, paragraph 2.1.1 of Part II of Volume III of Annex 16 to the
Chicago Convention.
It should be noted that the competent authority has the possibility to grant exemptions as noted in
Chapter 1, paragraph 1.11 and Chapter 2, paragraph 2.1.3 of Part II of Volume III of Annex 16 to the
Chicago Convention,.
When such an exemption is granted, the competent authority:
— takes into account the number of exempted aeroplanes that will be produced and their impact on
the environment; and
— issues an exemption document.
The Agency establishes and maintains a register, containing at least the aeroplane serial number, and
makes it publicly available.
ICAO Doc 9501 ‘Environmental Technical Manual’ Volume III provides guidance on the issuing of
exemptions.
AMC 21.A.130(c) Validation of the Statement of Conformity
ED Decision 2012/020/R
It is the responsibility of the applicant to ensure that each and every product, part and appliance
conforms to the applicable design data and is in condition for safe operation before issuing and signing
the relevant statement of conformity. During manufacture, the applicant is expected to use such
facilities, systems, processes and procedures as are described in the Manual and have been previously
agreed with the competent authority.
The competent authority must then make such inspection and investigation of records and product,
part or appliance as are necessary to determine that the agreed facilities, systems, processes and
procedures have been used, and that the statement of conformity may be regarded as a valid
document.
To enable timely inspection and investigation by the competent authority, the statement of
conformity must be prepared and submitted to the competent authority immediately upon
satisfactory completion of final production inspection and test.
AMC 21.A.130(c)(1) Initial transfer of ownership
ED Decision 2012/020/R
Upon transfer of ownership:
a)
For a complete aircraft, whether or not an application for a certificate of airworthiness is to be
made, an EASA Form 52 must be completed and submitted to the competent authority for
validation.
b)
For anything other than a complete aircraft an EASA Form 52 is inappropriate, and an
EASA Form 1 must be completed and submitted to the competent authority for validation.
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NOTE: If there is any significant delay between the last production task and presentation of the
EASA Form 52 or EASA Form 1 to the competent authority, then additional evidence relating to
the storage, preservation and maintenance of the item since its production must be presented
to the competent authority.
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SUBPART G — PRODUCTION ORGANISATION APPROVAL
21.A.131 Scope
Regulation (EU) No 748/2012
This Subpart establishes:
(a)
the procedure for the issuance of a production organisation approval for a production
organisation showing conformity of products, parts and appliances with the applicable design
data;
(b)
the rules governing the rights and obligations of the applicant for, and holders of, such
approvals.
AMC-ELA No 1 to 21.A.131 Scope
ED Decision 2019/003/R
The AMC-ELA in this Subpart provide acceptable means of compliance for the issuance of a production
organisation approval for organisations that produce
— aeroplanes that are within the scope of CS-LSA, CS-VLA and CS-23 level 1;
— sailplanes or powered sailplanes that are within the scope of CS-22; or
— balloons, hot-air airships and gas airships that are ELA2 aircraft,
that are not classified as complex motor-powered aircraft, as well as products or parts used on these
products.
GM-ELA No 1 to 21.A.131 Scope – General applicability of AMC-ELA
and the use of AMC-ELA as a baseline outside its scope
ED Decision 2019/003/R
The AMC indicated with ‘AMC-ELA’ and the GM related to them (as indicated with ‘GM-ELA’), provide
an alternative set of AMC and GM to the other available AMC and GM.
The AMC-ELA provide acceptable means to meet the requirements for small, non-complex
organisations that produce aircraft as specified in AMC-ELA No 1 to 21.A.131.
If the AMC-ELA are not applicable (for instance for small, non-complex organisations that produce
other low-risk products that are outside the scope of AMC-ELA No 1 to 21.A.131, e.g. light rotorcraft,
CS-23 Level 2, etc.), the applicant is not obliged to use any other available AMC. Switching to those
other available AMC will not necessarily provide a means of compliance that is proportionate. Since
AMC are a means, but not the only means, of showing compliance, applicants and approval holders
can also propose alternative means of compliance. These alternative means can use the AMC-ELA as
a baseline, and complement them by additional or more stringent controls, processes or methods.
This allows a gradual increase in the level of detail of the established procedures and the thoroughness
of the implemented tools for POA approval. This enables the introduction of a proportionate approach
that is commensurate with the kind of product and its associated risk or its production process risks,
as a function of the complexity of the organisations and the risk and performance of the product.
Using the AMC-ELA as a baseline for POA outside the applicability of the AMC-ELA is therefore
considered to be an appropriate starting point.
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Complementary elements need to be detailed, documented and recorded to a level at which the
occurrence of repetitive non-conformities is mitigated. Applicants and approval holders need to
demonstrate to the competent authority in such cases that those additional means meet the
requirements that are appropriate for the products being produced.
GM-ELA No 2 to 21.A.131 Scope – AMC-ELA as a complete, selfcontained set of AMC
ED Decision 2019/003/R
The AMC-ELA provide an alternative, complete and self-contained set of AMC. Applicants or POA
holders that manufacture products or parts within the scope of AMC-ELA can use AMC-ELA instead of
the existing AMC to Subpart G.
The AMC-ELA in full determine the acceptable means of compliance with Subpart G. The applicant
should implement each of the means defined here on an individual basis. If the specific characteristics
of the organisation render individual elements of AMC-ELA impracticable or not applicable, alternative
means with a specific resolution should be agreed with the competent authority. A justification needs
to be developed to show that the means that are applied meet the requirements of Part-21. A trustful
relationship between the typically very compact team of the applicant and the competent authority
should be developed. The applicant is strongly encouraged to ask the relevant contact person at the
competent authority for mutual clarification of any questionable item, if there is any doubt.
GM-ELA No 3 to 21.A.131 Scope – Applicable design data
ED Decision 2019/003/R
GM 21.A.131 applies.
GM-ELA No 4 to 21.A.131 Scope – Explanation of terms used in
AMC-ELA
ED Decision 2019/003/R
‘A method needs to be practised’.
When AMC-ELA applies the principle that ‘a method needs to be practised’, it means that the applicant
can show what is actually done in order to comply with a requirement in a practical but systematic
way. The applicant is not expected to have an excessively detailed documented procedure. As a
baseline, documented procedures for such ‘practised methods’ can be limited to a declaration of the
principles that are considered within the practised method. For example, a declaration such as
‘Document control is ensured by the workflow management as part of the IT-based Document
Management System (DMS)’, may be provided. This is acceptable when evidence is provided by work
results, by the demonstration of satisfactory conduct during surveillance activities, or by similar
means. When the actions that are continuously performed show that they do not satisfy the needs of
the AMC, a more detailed and documented procedure may need to be implemented to rectify the
situation.
‘Delegation of tasks and responsibilities’
AMC-ELA differentiates between the delegation of tasks and the delegation of responsibilities. For
small and simple organisations, the delegation of responsibilities to specific and separate
organisational positions can create overly burdensome administrative processes that do not reflect
the operational reality. The AMC-ELA accepts that tasks can be delegated, while the responsibility
formally remains with the delegator. This can increase efficiency, and it offers the possibility for the
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applicant to simplify procedures. A typical example is when the accountable manager delegates tasks,
while keeping the responsibility associated with these tasks. If this situation is identified with respect
to the individual requirements, this may significantly reduce the effort required for documentation,
and it allows streamlined methods to be practised.
‘Consolidated team’
AMC-ELA makes reference to companies working in a ‘consolidated team’, mainly in relation to
coordination between the design and production activities. Companies are considered to be working
in consolidated teams if the following criteria apply:
— Even when a consolidated team spans across different legal entities, it acts as one organisation;
— A consolidated team is expected to work within one consolidated setup, and under one
management, so that a free flow of information is inherently ensured;
— In a consolidated team, functions are not duplicated, so the same person(s) takes care of both the
production and design aspects of any one function;
— Responsibilities are defined at the level of the person or the position, not at the level of the legal
entity;
— Within consolidated teams, adequate coordination is expected to be present through ‘practised
methods’, without any further written definitions of responsibilities beyond those elements that
are explicitly described within AMC-ELA.
GM 21.A.131 Scope – Applicable design data
ED Decision 2019/018/R
Applicable design data is defined as all necessary drawings, specifications and other technical
information provided by the applicant for, or holder of a design organisation approval, TC, STC,
approval of repair or minor change design, or ETSO authorisation and released in a controlled manner
to a production organisation approval holder. This should be sufficient for the development of
production data to enable repeatable manufacture to take place in conformity with the design data.
Prior to issue of the TC, STC, approval of repair or minor change design or ETSO authorisation, or
equivalent, design data is defined as ‘not approved’ but parts and appliances may be released with an
EASA Form 1 as a certificate of conformity.
After issue of the TC, STC, approval of repair or minor change or ETSO authorisation, or equivalent,
this design data is defined as ‘approved’ and items manufactured in conformity are eligible for release
on an EASA Form 1 for airworthiness purposes.
For the purpose of Subpart G of Part 21, the term ‘applicable design data’ includes the information
related to the applicable engine exhaust emissions and aeroplane CO2 emissions production cut-off
requirements.
21.A.133 Eligibility
Regulation (EU) No 748/2012
Any natural or legal person (‘organisation’) shall be eligible as an applicant for an approval under this
Subpart. The applicant shall:
(a)
justify that, for a defined scope of work, an approval under this Subpart is appropriate for the
purpose of showing conformity with a specific design; and
(b)
hold or have applied for an approval of that specific design; or
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REQUIREMENTS
have ensured, through an appropriate arrangement with the applicant for, or holder of, an
approval of that specific design, satisfactory coordination between production and design.
GM 21.A.133(a) Eligibility – Approval appropriate for showing
conformity
ED Decision 2012/020/R
‘Appropriate’ should be understood as follows:
— The applicant produces or intends to produce aeronautical products, parts and/or appliances
intended for airborne use as part of a type-certificated product (this excludes simulators, ground
equipment and tools).
— The applicant will be required to show a need for an approval, normally based on one or more of
the following criteria:
1.
Production of aircraft, engines or propellers (except if the competent authority considers
a POA inappropriate)
2.
Production of ETSO articles and parts marked EPA
3.
Direct delivery to users such as owners or operators maintenance organisations with the
need for exercising the privileges of issuing Authorised Release Certificates – EASA Form 1
4.
Participation in an international co-operation program where working under an approval
is considered necessary by the competent authority
5.
Criticality and technology involved in the part or appliance being manufactured. Approval
in this case may be found by the competent authority as the best tool to exercise its duty
in relation to airworthiness control
6.
Where an approval is otherwise determined by the competent authority as being
required to satisfy the essential requirements of Annex I to the Regulation (EC)
No 216/2008.
— It is not the intent of the competent authority to issue approvals to manufacturing firms that
perform only sub-contract work for main manufacturers of products and are consequently placed
under their direct surveillance.
— Where standard parts, materials, processes or services are included in the applicable design data
(see guidance on applicable design data in GM 21.A.131) their standards should be controlled by
the POA holder in a manner which is satisfactory for the final use of the item on the product, part
or appliance. Accordingly, the manufacturer or provider of the following will not at present be
considered for production organisation approval:
— consumable materials
— raw materials
— standard parts
— parts identified in the product support documentation as ‘industry supply’ or
‘no hazard’
— non-destructive testing or inspection
— processes (heat treatment, surface finishing, shot peening, etc.)
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AMC No 1 to 21.A.133(b) and (c) Eligibility – Link between design
and production organisations
ED Decision 2012/020/R
An arrangement is considered appropriate if it is documented and satisfies the competent authority
that co-ordination is satisfactory.
To achieve satisfactory coordination the documented arrangements must at least define the following
aspects irrespective of whether the two organisations are separate legal entities or not:
— The responsibilities of a design organisation which assure correct and timely transfer of up-todate airworthiness data (e.g., drawings, material specifications, dimensional data, processes,
surface treatments, shipping conditions, quality requirements, etc.);
— The responsibilities and procedures of a POA holder/applicant for developing, where applicable,
its own manufacturing data in compliance with the airworthiness data package;
— The responsibilities of a POA holder/applicant to assist the design organisation in dealing with
continuing airworthiness matters and for required actions (e.g., traceability of parts in case of
direct delivery to users, retrofitting of modifications, traceability of processes’ outputs and
approved deviations for individual parts as applicable, technical information and assistance, etc.);
— The scope of the arrangements must cover Part 21 Subpart G requirements and associated AMC
and GM, in particular: 21.A.145(b), 21.A.165(c), (f) and (g);
— The responsibilities of a POA holder/applicant, in case of products prior to type certification to
assist a design organisation in demonstrating compliance with CS (access and suitability of
production and test facilities for manufacturing and testing of prototype models and test
specimen);
— The procedures to deal adequately with production deviations and non-conforming parts;
— The procedures and associated responsibilities to achieve adequate configuration control of
manufactured parts, to enable the production organisation to make the final determination and
identification for conformity or airworthiness release and eligibility status;
— The identification of the responsible persons/offices who control the above;
— The acknowledgment by the holder of the TC/STC/repair or change approval/ETSO authorisation
that the approved design data provided, controlled and modified in accordance with the
arrangement are recognised as approved.
In many cases the production organisation may receive the approved design data through an
intermediate production organisation. This is acceptable provided an effective link between the design
approval holder and the production organisation can be maintained to satisfy the intent of 21.A.133.
When the design and production organisations are two separate legal entities a Direct Delivery
Authorisation must be available for direct delivery to end users in order to guarantee continued
airworthiness control of the released parts and appliances.
Where there is no general agreement for Direct Delivery Authorisation, specific permissions may be
granted (refer to AMC 21.A.4).
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AMC No 2 to 21.A.133(b) and (c) Eligibility – Link between design
and production organisations
ED Decision 2012/020/R
In accordance with AMC No 1 to 21.A.133(b) and (c) the POA holder must demonstrate to the
competent authority that it has entered into an arrangement with the design organisation. The
arrangement must be documented irrespective of whether the two organisations are separate legal
entities or not.
The documented arrangement must facilitate the POA holder to demonstrate compliance with the
requirement of 21.A.133(b) and (c) by means of written documents agreed.
In the case where the design organisation and POA holder are part of the same legal entity these
interfaces may be demonstrated by company procedures accepted by the competent authority.
In all other cases to define such a design/production interface the following sample format is offered:
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Arrangement Sample Form
ARRANGEMENT
in accordance with 21.A.133(b) and (c)
The undersigned agree on the following commitments:
The design organisation [NAME] takes responsibility to
— assure correct and timely transfer of up-to-date applicable design data
(e.g., drawings, material specifications, dimensional data, processes,
surface treatments, shipping conditions, quality requirements, etc.) to
the production organisation approval holder [NAME]
Relevant interface procedures
— provide visible statement(s) of approved design data.
The production organisation approval holder [NAME] takes responsibility
to
— assist the design organisation [NAME] in dealing with continuing
airworthiness matter and for required actions
— assist the design organisation [NAME] in case of products prior to type
certification in demonstrating compliance with certification
specifications
— develop, where applicable, its own manufacturing data in compliance
with the airworthiness data package.
The design organisation [NAME] and the POA holder [NAME] take joint
responsibility to
— deal adequately with production deviations and non-conforming parts
in accordance with the applicable procedures of the design
organisation and the production organisation approval holder
— achieve adequate configuration control of manufactured parts, to
enable the POA holder to make the final determination and
identification for conformity.
The scope of production covered by this arrangement is detailed in [DOCUMENT REFERENCE/ATTACHED
LIST]
[When the design organisation is not the same legal entity as the production organisation approval holder]
Transfer of approved design data:
The TC/STC/ETSO holder [NAME] acknowledges that the approved design data provided, controlled and
modified in accordance with the arrangement are recognised as approved by the competent authority and
therefore the parts and appliances manufactured in accordance with these data and found in a condition for
safe operation may be released certifying that the item was manufactured in conformity to approved design
data and is in a condition for safe operation..
[When the design organisation is not the same legal entity as the production organisation approval holder]
Direct Delivery Authorisation:
This acknowledgment includes also [OR does not include] the general agreement for direct delivery to end
users in order to guarantee continued airworthiness control of the released parts and appliances.
For the [NAME of the design organisation/DOA holder]
For the [NAME of the POA holder]
Date:
Date:
Signature:
xx.xx.xxxx
Signature:
xx.xx.xxxx
[NAME in block letters]
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Instructions for completion:
Title: The title of the relevant document must clearly indicate that it serves the purpose of a
design/production interface arrangement in accordance with 21.A.133(b) and (c).
Commitment: The document must include the basic commitments between the design organisation
and the POA holder as addressed in AMC 21.A.4 and AMC No 1 to 21.A.133(b) and (c).
Relevant Procedures: Identify an entry point into the documentary system of the organisations with
respect to the implementation of the arrangement (for example a contract, quality plan, handbooks,
common applicable procedures, working plans etc.).
Scope of arrangement: The scope of arrangement must state by means of a list or reference to
relevant documents those products, parts or appliances that are covered by the arrangement.
Transfer of applicable design data: Identify the relevant procedures for the transfer of the applicable
design data required by 21.A.131 and GM 21.A.131 from the design organisation to the POA holder.
The means by which the design organisation advises the POA holder whether such data is approved
or not approved must also be identified (ref. 21.A.4/AMC 21.A.4).
Direct Delivery Authorisation: Where the design organisation and the POA holder are separate legal
entities the arrangement must clearly identify whether authorisation for direct delivery to end users
is permitted or not.
Where any intermediate production/design organisations are involved in the chain between the
original design organisation and the POA holder evidence must be available that this intermediate
organisation has received authority from the design organisation to grant Direct Delivery
Authorisation.
Signature: AMC No 1 to 21.A.133(b) and (c) requests the identification of the responsible
persons/offices who control the commitments laid down in the arrangement. Therefore the basic
document must be signed mutually by the authorised representatives of the design organisation and
the POA holder in this regard.
AMC-ELA No 1 to 21.A.133(c) Eligibility – Link between design and
production
ED Decision 2019/003/R
The link between design and production is appropriately arranged when the organisation responsible
for production and the one responsible for design both work within one consolidated team. The
following documented arrangement may be used between the production organisation and the
applicant for, or the holder of, a type design, in order to record their respective responsibilities.
ARRANGEMENT
in accordance with AMC-ELA No 1 to 21.A.133(c)
The undersigned agree on the following commitments:
The design organisation [NAME] takes responsibility for
— assuring the correct and timely transfer of up-to-date applicable design data (e.g., drawings, material
specifications, dimensional data, processes, surface treatments, shipping conditions, quality
requirements, etc.) to the production organisation approval holder [NAME];
— providing visible statement(s) of approved design data.
The production organisation approval holder [NAME] takes responsibility for
— assisting the design organisation [NAME] in dealing with continuing airworthiness matters and for
required actions;
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— assisting the design organisation [NAME], with products prior to type certification, in demonstrating
products’ compliance with the certification specifications;
— developing, where applicable, its own manufacturing data in compliance with the airworthiness data
package.
The design organisation [NAME] and the POA holder [NAME] take joint responsibility for
— dealing adequately with production deviations and non-conforming parts in accordance with the
applicable procedures of the design organisation and the production organisation approval holder;
— achieving adequate configuration control of manufactured parts to enable the POA holder to make the
final determination and identification for conformity.
The scope of production that is covered by this arrangement is detailed in the POE
[If the design organisation is not the same legal entity as the production organisation approval holder]
Transfer of approved design data:
The TC/STC/ETSO holder [NAME] acknowledges that the approved design data provided, controlled and
modified in accordance with this arrangement are recognised as having been approved by the competent
authority, and that therefore, the parts and appliances manufactured in accordance with these data and
found to be in a condition for safe operation may be released, certifying that the item was manufactured in
conformity to approved design data and is in a condition for safe operation.
[If the design organisation is not the same legal entity as the production organisation approval holder]
Direct Delivery Authorisation:
This acknowledgment also includes [OR does not include] the general agreement for direct delivery to end
users in order to guarantee continued airworthiness control of the released parts and appliances.
For the [NAME of the design organisation/DOA holder] For the [NAME of the POA holder]
Date: Signature:
Date: Signature:
xx.xx.xxxx
xx.xx.xxxx
[NAME in block letters]
[NAME in block letters]
AMC-ELA No 2 to 21.A.133(c) Eligibility – Link between design and
production
ED Decision 2019/003/R
If the approval is held or is applied for by a different entity, and the work is not performed by one
consolidated team, an arrangement in accordance with AMC-ELA No 1 to 21.A.133(c) is not sufficient.
The roles and responsibilities for the coordination between the design and production staff (in both
directions) need to be established. This may be achieved, for example, by simple flow chart definitions
supported by strong, self-explanatory forms, or by task descriptions of responsible functions in the
organisation, or by equivalent means. IT-based enterprise resource planning (ERP) systems can be
used to ensure and to demonstrate that there is a correct flow of information on the basis of defined
and visible workflows with assigned roles and release gates, without any further need for written
definitions. Further means with a comparable effect are possible. Internal and external audits can
verify that the coordination functions properly.
21.A.134 Application
Regulation (EU) No 748/2012
Each application for a production organisation approval shall be made to the competent authority in
a form and manner established by that authority, and shall include an outline of the information
required by point 21.A.143 and the terms of approval requested to be issued under point 21.A.151.
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GM 21.A.134 Application – Application form and manner
ED Decision 2012/020/R
EASA Form 50 (see AMC 21.B.220(c)) should be obtained from the competent authority, and
completed by the accountable manager of the organisation.
The completed form, an outline of the production organisation exposition, and details of the proposed
terms of approval are to be forwarded to the competent authority.
GM-ELA No 1 to 21.A.134 Scope – Application
ED Decision 2019/003/R
GM 21.A.134 applies.
21.A.134A Means of compliance
Regulation (EU) 2022/201
(a)
An organisation may use any alternative means of compliance to establish compliance with this
Regulation.
(b)
If an organisation wishes to use an alternative means of compliance, it shall, prior to using it,
provide the competent authority with a full description. The description shall include any
revisions to manuals or procedures that may be relevant, as well as an explanation indicating
how compliance with this Regulation is achieved.
The organisation may use those alternative means of compliance subject to prior approval from
the competent authority.
[applicable from 7 March 2023 - Regulation (EU) 2022/201]
21.A.135 Issue of production organisation approval [applicable until
6 March 2023] / 21.A.135 Issuance of production organisation
approval [applicable from 7 March 2023 - Regulation (EU)
2022/201]
Regulation (EU) No 748/2012
An organisation shall be entitled to have a production organisation approval issued by the competent
authority when it has demonstrated compliance with the applicable requirements under this Subpart.
21.A.139 Quality System [applicable until 6 March 2023] / 21.A.139
Production management system [applicable from 7 March 2023 Regulation (EU) 2022/201]
Regulation (EU) No 748/2012
(a)
The production organisation shall demonstrate that it has established and is able to maintain a
quality system. The quality system shall be documented. This quality system shall be such as to
enable the organisation to ensure that each product, part or appliance produced by the
organisation or by its partners, or supplied from or subcontracted to outside parties, conforms
to the applicable design data and is in condition for safe operation, and thus exercise the
privileges set forth in point 21.A.163.
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The quality system shall contain:
1.
as applicable within the scope of approval, control procedures for:
(i)
document issue, approval, or change;
(ii)
vendor and subcontractor assessment audit and control;
(iii)
verification that incoming products, parts, materials, and equipment, including
items supplied new or used by buyers of products, are as specified in the applicable
design data;
(iv)
identification and traceability;
(v)
manufacturing processes;
(vi)
inspection and testing, including production flight tests;
(vii)
calibration of tools, jigs, and test equipment;
(viii) non conforming item control;
(ix)
airworthiness coordination with the applicant for, or holder of, the design
approval;
(x)
records completion and retention;
(xi)
personnel competence and qualification;
(xii)
issue of airworthiness release documents;
(xiii) handling, storage and packing;
(xiv) internal quality audits and resulting corrective actions;
(xv)
work within the terms of approval performed at any location other than the
approved facilities;
(xvi) work carried out after completion of production but prior to delivery, to maintain
the aircraft in a condition for safe operation;
(xvii) issue of permit to fly and approval of associated flight conditions.
The control procedures need to include specific provisions for any critical parts.
2.
An independent quality assurance function to monitor compliance with, and adequacy
of, the documented procedures of the quality system. This monitoring shall include a
feedback system to the person or group of persons referred to in point 21.A.145(c)(2)
and ultimately to the manager referred to in point 21.A.145(c)(1) to ensure, as necessary,
corrective action.
[applicable until 6 March 2023]
(a)
The production organisation shall establish, implement and maintain a production management
system that includes a safety management element and a quality management element, with
clearly defined accountability and lines of responsibility throughout the organisation.
(b)
The production management system shall:
1.
correspond to the size of the organisation, and to the nature and complexity of its
activities, taking into account the hazards and associated risks inherent in those activities;
2.
be established, implemented and maintained under the direct accountability of a single
manager appointed pursuant to point 21.A.145(c)(1).
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As part of the safety management element of the production management system, the
production organisation shall:
1.
establish, implement and maintain a safety policy and the corresponding related safety
objectives;
2.
appoint key safety personnel in accordance with point 21.A.145(c)(2);
3.
establish, implement and maintain a safety risk management process to identify safety
hazards entailed by its aviation activities, evaluate them and manage associated risks,
including taking actions to mitigate the risks and verify their effectiveness;
4.
establish, implement and maintain a safety assurance process that includes:
5.
6.
(d)
Annex I
(i)
the measurement and monitoring of the organisation’s safety performance;
(ii)
the management of changes in accordance with point 21.A.147;
(iii)
the principles for the continuous improvement of the safety management element;
promote safety in the organisation through:
(i)
training and education;
(ii)
communication;
establish an occurrence reporting system in accordance with point 21.A.3A in order to
contribute to the continuous improvement of safety.
As part of the quality management element of the production management system, the
production organisation shall:
1.
ensure that each product, part or appliance produced by the organisation or by its
partners, or supplied from or subcontracted to outside parties, conforms to the
applicable design data and is in condition for safe operation, thus enabling the exercise
of the privileges set out in point 21.A.163;
2.
establish, implement and maintain, as appropriate, within the scope of the approval,
control procedures for:
(i)
document issue, approval or change;
(ii)
vendor and subcontractor assessment audit and control;
(iii)
verifying that incoming products, parts, materials and equipment, including items
supplied new or used by buyers of products, are as specified in the applicable
design data;
(iv)
identification and traceability;
(v)
manufacturing processes;
(vi)
inspection and testing, including production flight tests;
(vii)
the calibration of tools, jigs, and test equipment;
(viii) non-conforming item control;
(ix)
airworthiness coordination with the applicant for, or holder of, the design
approval;
(x)
the completion and retention of records;
(xi)
the competence and qualifications of personnel;
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the issue of airworthiness release documents;
(xiii) handling, storage and packing;
(xiv) internal quality audits and the resulting corrective actions;
(xv)
work within the terms of approval performed at any location other than the
approved facilities;
(xvi) work performed after the completion of production but prior to delivery, to
maintain the aircraft in a condition for safe operation;
(xvii) the issue of a permit to fly and approval of the associated flight conditions;
3.
include specific provisions in the control procedures for any critical parts.
(e)
The production organisation shall establish, as part of the production management system, an
independent monitoring function to verify compliance of the organisation with the relevant
requirements of this Annex as well as compliance with and adequacy of the production
management system. Monitoring shall include feedback to the person or group of persons
referred to in point 21.A.145(c)(2) and to the manager referred to in point 21.A.145(c)(1) to
ensure, where necessary, the implementation of corrective action.
(f)
If the production organisation holds one or more additional organisation certificates within the
scope of Regulation (EU) 2018/1139, the production management system may be integrated
with that required under the additional certificate(s) held.
[applicable from 7 March 2023 - Regulation (EU) 2022/201]
GM1 21.A.139, 21.A.157, 21.A.239, 21.A.257, 21.B.120, 21.B.140,
21.B.220, 21.B.235 and 21.B.240 The use of information and
communication technologies (ICT) for performing remote audits
ED Decision 2021/007/R
This GM provides technical guidance on the use of remote information and communication
technologies (ICT) to support:
— competent authorities when overseeing regulated organisations;
— regulated organisations when conducting internal audits / monitoring compliance of their
organisation with the relevant requirements, and when evaluating vendors, suppliers and
subcontractors.
In the context of this GM:
— ‘remote audit’ means an audit that is performed with the use of any real-time video and audio
communication tools in lieu of the physical presence of the auditor on-site; the specificities of
each type of approval / letter of agreement (LoA) need to be considered in addition to the general
overview (described below) when applying the ‘remote audit’ concept;
— ‘auditing entity’ means the competent authority or organisation that performs the remote audit;
— ‘auditee’ means the entity being audited/inspected (or the entity audited/inspected by the
auditing entity via a remote audit);
It is the responsibility of the auditing entity to assess whether the use of remote ICT constitutes a
suitable alternative to the physical presence of an auditor on-site in accordance with the applicable
requirements.
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The conduct of a remote audit
The auditing entity that decides to conduct a remote audit should describe the remote audit process
in its documented procedures and should consider at least the following elements:
— The methodology for the use of remote ICT is sufficiently flexible and non-prescriptive in nature
to optimise the conventional audit process.
— Adequate controls are defined and are in place to avoid abuses that could compromise the
integrity of the audit process.
— Measures to ensure that the security and confidentiality are maintained throughout the audit
activities (data protection and intellectual property of the organisation also need to be
safeguarded).
Examples of the use of remote ICT during audits may include but are not limited to:
— meetings by means of teleconference facilities, including audio, video and data sharing;
— assessment of documents and records by means of remote access, in real time;
— recording, in real time during the process, of evidence to document the results of the audit,
including non-conformities, by means of exchange of emails or documents, instant pictures, video
or/and audio recordings;
— visual (livestream video) and audio access to facilities, stores, equipment, tools, processes,
operations, etc.
An agreement between the auditing entity and the auditee should be established when planning a
remote audit, which should include the following:
— determining the platform for hosting the audit;
— granting security and/or profile access to the auditor(s);
— testing platform compatibility between the auditing entity and the auditee prior to the audit;
— considering the use of webcams, cameras, drones, etc., when the physical evaluation of an event
(product, part, process, etc.) is desired or is necessary;
— establishing an audit plan which will identify how remote ICT will be used and the extent of their
use for the audit purposes to optimise their effectiveness and efficiency while maintaining the
integrity of the audit process;
— if necessary, time zone acknowledgement and management to coordinate reasonable and
mutually agreeable convening times;
— a documented statement of the auditee that they shall ensure full cooperation and provision of
the actual and valid data as requested, including ensuring any supplier or subcontractor
cooperation, if needed; and
— data protection aspects.
The following equipment and set-up elements should be considered:
— the suitability of video resolution, fidelity, and field of view for the verification being conducted;
— the need for multiple cameras, imaging systems, or microphones, and whether the person that
performs the verification can switch between them, or direct them to be switched and has the
possibility to stop the process, ask a question, move the equipment, etc.;
— the controllability of viewing direction, zoom, and lighting;
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— the appropriateness of audio fidelity for the evaluation being conducted; and
— real-time and uninterrupted communication between the person(s) participating to the remote
audit from both locations (on-site and remotely).
When using remote ICT, the auditing entity and the other persons involved (e.g. drone pilots, technical
experts) should have the competence and ability to understand and utilise the remote ICT tools
employed to achieve the desired results of the audit(s)/assessment(s). The auditing entity should also
be aware of the risks and opportunities of the remote ICT used and the impacts they may have on the
validity and objectivity of the information gathered.
Audit reports and related records should indicate the extent to which remote ICT have been used in
conducting remote audits and the effectiveness of remote ICT in achieving the audit objectives,
including any item that it has not been able to be completely reviewed.
GM-ELA No 1 to 21.A.139(a) Quality system
ED Decision 2019/003/R
The focus of the quality system is on the key workflows that are indispensable to ensure conformity
to the relevant parameters of the applicable design data. The quality system should include elements
to determine that there is conformity to the relevant parameters of the applicable design data and, if
applicable, the production process definitions. The quality system should mitigate any repetitive nonconformities found in products or spare parts.
The production organisation should demonstrate that it has established, and will maintain, a quality
system via integration or by making use of one of the following, as applicable:
— a valid ISO 9001 certificate;
— a valid EN 9100 certificate;
— compliance with ASTM F2972 for organisations that have only the production of CS-LSA aircraft in
their scope of approval; or
— an individual quality system that meets all the definitions of the full set of AMC-ELA.
It should be ensured that the existing quality system covers all the aspects defined in 21.A.139(a). The
quality system should be documented in such a way that the documentation can be made easily
available to any personnel who need to use the material to perform their duties.
GM-ELA No 2 to 21.A.139(a) Quality system
ED Decision 2019/003/R
The documentation of the quality system can be done by any method that ensures that members of
the organisation can obtain the actual and relevant information in a reasonable way. This explicitly
includes the provision of such information by electronic means, for example, on the intranet of the
organisation, by the use of an electronic database such as DMS, on paper, by illustration, by using
workflow definitions within IT based ERP systems, by other means, or by a combination of several such
means.
The person responsible for the definition, implementation and maintenance of the quality system
should be identified. This person should coordinate the maintenance of the system. For small-sized
companies with low (product) complexity, typically the accountable manager bears this responsibility,
even if that manager delegates tasks to a quality manager.
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GM No 1 to 21.A.139(a) Quality System
ED Decision 2012/020/R
The quality system is an organisational structure with responsibilities, procedures, processes, and
resources which implement a management function to determine and enforce quality principles.
The quality system should be documented in such a way that the documentation can be made easily
available to personnel who need to use the material for performing their normal duties, in particular:
— procedures, instructions, data to cover the issues of 21.A.139(b)(1) are available in a written form,
— distribution of relevant procedures to offices/persons is made in a controlled manner,
— procedures which identify persons responsible for the prescribed actions are established,
— the updating process is clearly described.
The manager responsible for ensuring that the quality system is implemented and maintained should
be identified.
The competent authority will verify on the basis of the exposition and by appropriate investigations
that the production organisation has established and can maintain their documented quality system.
GM No 2 to 21.A.139(a) Quality System – Conformity of supplied
parts or appliances
ED Decision 2012/020/R
The POA holder is responsible for determining and applying acceptance standards for physical
condition, configuration status and conformity of supplied products, parts or appliances, whether to
be used in production or delivered to customers as spare parts. This responsibility also includes BFE
(Buyer Furnished Equipment) items.
To discharge this responsibility the quality system needs an organisational structure and procedures
to adequately control suppliers. Elements of the quality system for the control of suppliers may be
performed by other parties provided that the conditions of AMC No 1 or No 2 to 21.A.139(b)(1)(ii) are
met.
Control can be based upon use of the following techniques (as appropriate to the system or product
orientation necessary to ensure conformity):
— qualification and auditing of supplier’s quality system,
— evaluation of supplier capability in performing all manufacturing activities, inspections and tests
necessary to establish conformity of parts or appliances to type design,
— first article inspection, including destruction if necessary, to verify that the article conforms to the
applicable data for new production line or new supplier,
— incoming inspections and tests of supplied parts or appliances that can be satisfactorily inspected
on receipt,
— identification of incoming documentation and data relevant to the showing of conformity to be
included in the certification documents,
— a vendor rating system which gives confidence in the performance and reliability of this supplier,
— any additional work, tests or inspection which may be needed for parts or appliances which are
to be delivered as spare parts and which are not subjected to the checks normally provided by
subsequent production or inspection stages.
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The POA holder may rely on inspection/tests performed by supplier if it can establish that:
— personnel responsible in charge of these tasks satisfy the competency standards of the POA
quality system,
— quality measurements are clearly identified,
— the records or reports showing evidence of conformity are available for review and audit.
The control of suppliers holding a POA for the parts or appliances to be supplied can be reduced, to a
level at which a satisfactory interface between the two quality systems can be demonstrated. Thus,
for the purpose of showing conformity, a POA holder can rely upon documentation for parts or
appliances released under a suppliers 21.A.163 privileges.
A supplier who does not hold a POA is considered as a sub-contractor under the direct control of the
POA quality system.
The POA holder retains direct responsibility for inspections/tests carried out either at its own facilities
or at supplier’s facilities.
AMC-ELA No 1 to 21.A.139(b)(1) Quality system – Control
procedures
ED Decision 2019/003/R
Note: This AMC-ELA is numbered in accordance with the numbering of the subparagraphs of point
21.A.139(b)(1).
These minimum means are considered to be acceptable unless repeated non-conformities show
otherwise. The quality system should contain, as applicable, the following structured information that
may be provided and embedded in various documents and systems.
(i)
Information is provided that shows how control procedures for the issuing, approval, or change
of documents are organised and practised. This information also specifies to which documents
it is applicable. A practised method describes how the use of invalid or superseded information
in production is prevented.
(ii)
A practised method describes how and when the assessment and surveillance of any vendors
and subcontractors are carried out. This information explains how this is controlled. The
assessment and surveillance of vendors and subcontractors are only required in cases where
the methods identified in (iii) below or in other production control mechanisms are not able to
detect non-conformities with the applicable design data.
(iii)
Verification that incoming products, parts, materials, and equipment, including items supplied
new or used by buyers of products, are as specified in the applicable design data can be achieved
by one or more of the following practised methods:
— inspections of incoming articles;
— assessment and surveillance of vendors and subcontractors;
— other production control mechanisms that are able to detect non-conformities with the
applicable design data.
(iv)
Information is provided to show that procedures are practised that ensure the identification
and traceability of parts and material in stock, in completed parts or in parts in process. Where
the applicable design data specifies that parts require specific individual traceability, these parts
are identified and records are kept.
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Information is provided for the procedures of the manufacturing process for:
— specific manufacturing process information as required in the applicable design data;
and/or
— complementary procedures established by the production organisation.
Practised methods that use standard manufacturing processes do not require specific
documentation.
If strict adherence to a manufacturing process is required in order to ensure that safety-critical
product characteristics are met, this is specified in the manufacturing procedure.
(vi)
Information is provided on the scope and sampling rate of production inspections and testing
that, as a minimum, covers the inspection and testing that is defined as part of the applicable
design data. If needed, it is complemented by inspections and testing as defined by the
production organisation.
Information is provided for the flight test plan and flight conditions defined for the purpose of
production acceptance flight tests, when applicable.
(vii)
Information is provided on the tools, jigs and test equipment on which verification or calibration
is performed and recorded. A statement that all other production tooling is controlled via
practised methods is acceptable.
(viii) General practised methods are described that prevent the release of non-conforming products
and their parts that would have an impact on the safe operation of the aircraft. Nonconformities are recorded in order to control the quality system.
(ix)
General practised methods are described for adequate airworthiness coordination with the
applicant for, or the holder of, the design approval. The documented DO/PO arrangement is
used to define responsibilities.
(x)
Information is provided about which production records are kept, and how completed records
are kept in an adequately protected environment.
(xi)
Information is provided that shows what the required competences and qualifications are for
certifying staff, and how records on the certifying staff are kept.
(xii)
Information is provided on the procedures to issue airworthiness release documents by the:
— identification of the persons permitted to issue airworthiness release documents; and
— identification of the relevant forms, and instructions for filling in the forms.
(xiii) Information is provided on the handling, storage and packaging methods that are adequate if:
— inappropriate handling, storage or packaging could lead to damage or deterioration;
— standard inspections prior to the use of the component would not detect defects; and
— such damage or deterioration would endanger the airworthiness of a component or a
part.
(xiv) Information is provided on how internal quality audits and the resulting corrective action
procedure are covered by practised surveillance mechanisms that allow the organisation to
verify the efficiency of all the elements of the quality system as per this listing.
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Work conducted in places other than the ‘major place of activity’ and the premises specified in
the POE should be approved by the accountable manager, who must ensure that the critical
process parameters for the work conducted, such as the light, temperature, humidity, etc., and
adequate tooling, are identified and considered. Work conducted at such a location cannot be
of a kind that would be performed at a ‘major place of activity’. The information on this kind of
work is considered to be a change to the production approval, and it requires approval.
(xvi) Work carried out after the completion of the product, but prior to its delivery, is conducted
according to the same definitions and procedures and by the same staff as are relevant for the
regular production process. It is the responsibility of the accountable manager to ensure the
adherence to this requirement.
(xvii) A workflow is defined that shows how to issue flight conditions and permits to fly (PtFs) for the
purpose of the production flight testing of new production aircraft. When the flight test plan,
the completed flight conditions and Forms 18a and 20b for the purpose of conducting the flight
tests are provided as part of the approved type design, the workflow can be limited to:
— making the required entries in those documents (i.e. the reference to the individual
aircraft S/N and the configuration);
— verification that the product configuration conforms with the definitions provided
within the flight conditions document (which may be an integral part of the type
inspection as part of the production workflow); and
— the issuing of the documents.
As part of the workflow, it should be defined that the production organisation can only issue
flight conditions and PtFs for this case, and as long as this flight test plan and flight conditions
can be fully adhered to.
When the production organisation issues flight conditions and PtFs for a purpose other than the
production flight testing of new production aircraft, a flight test operations manual (FTOM)
needs to be put in place, which should define the relevant workflows.
For companies that work as one consolidated team, it is sufficient to have one set of flight test
procedures that have been established on the basis of an FTOM within either the design or the
production organisation.
GM-ELA No 1 to 21.A.139(b)(1) Quality system – Control procedures
ED Decision 2019/003/R
The documentation of the quality system, and the associated training, is limited to what is necessary
to demonstrate that the products that are produced conform to the relevant design definition, and
are in a condition for safe operation. If products are repeatedly found that do not conform, or if
evidence is available that the products may be or may become unsafe, then enhanced procedures and
documentation that go beyond the AMC-ELA may be one of the means, but not the only possible
means, to rectify that situation.
The control procedures of a quality system can be defined by flow charts, process cards, or similar
means. If enterprise resource planning (ERP) systems or other IT systems that manage workflows are
applied, then separate workflow documentation is not necessary, as long as the workflow can be
demonstrated on the basis of the IT system that is applied. The quality system methods should cover
those aspects for which a failure to control these elements is expected to have a direct impact on the
safe operation of the aircraft.
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GM-ELA No 2 to 21.A.139(b)(1) Conformity of supplied parts or
appliances
ED Decision 2019/003/R
The organisation is responsible for ensuring that the delivered product conforms to the type design.
This includes components that are used on the product and that are obtained from outside. To
discharge this responsibility, the organisation needs to implement practised methods that ensure that
non-conforming products are detected at a suitable point in time, prior to the declaration of
conformity of the final product or the delivery of spare parts to the customer.
Organisations that apply AMC-ELA No 1 to 21.A.139(b)(1) should ensure, as a minimum, the
conformity of supplied parts to a level that is defined as part of the approved type design by using one
or more of the following methods:
— supplier control;
— the inspection of incoming goods;
— inspections conducted at a suitable stage of the production and verification flow;
— verification of the performance and the characteristics of the completed product; or
— other means that have an equivalent purpose.
If methods for the verification of conformity are defined as part of the approved type design, the
organisation does not need to go beyond these verification methods in their extent, method or
frequency.
If the type design does not determine the conformity criteria, the organisation may need to extend
reasonable quality assurance methods to the related supplier if non-conformities of the parts would
create a hazard.
GM 21.A.139(b)(1) Quality System – Elements of the quality system
ED Decision 2012/020/R
1.
The control procedures covering the elements of 21.A.139(b)(1) should document the standards
to which the production organisation intends to work.
2.
An organisation having a Quality system designed to meet a recognised Standard such as
ISO 9001 (relevant to the scope of approval being requested) should expand it to include at least
the following additional topics, as appropriate, in order to demonstrate compliance with the
requirements of Part 21 Subpart G:
— Mandatory Occurrence Reporting and continued airworthiness as required by
21.A.165(e)
— Control of work occasionally performed (outside the POA facility by POA personnel)
— Co-ordination with the applicant for, or holder of, an approved design as required by
21.A.133(b) and (c) and 21.A.165(g)
— Issue of certifications within the scope of approval for the privileges of 21.A.163
— Incorporation of airworthiness data in production and inspection data as required in
21.A.133(b) and (c) and 21.A.145(b)
— When applicable, ground test and/or production flight test of products in accordance
with procedures defined by the applicant for, or holder of, the design approval
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— Procedures for traceability including a definition of clear criteria of which items need
such traceability. Traceability is defined as a means of establishing the origin of an
article by reference to historical records for the purpose of providing evidence of
conformity
— Personnel training and qualification procedures especially for certifying staff as
required in 21.A.145(d).
3.
An organisation having a quality system designed to meet a recognised aerospace quality
standard will still need to ensure compliance with all the requirements of Subpart G of Part 21.
In all cases, the competent authority will still need to be satisfied that compliance with Part 21
Subpart G is established.
AMC No 1 to 21.A.139(b)(1)(ii) Vendor and sub-contractor
assessment, audit and control – Production Organisation Approval
(POA) holder using documented arrangements with other parties
for assessment and surveillance of a supplier.
ED Decision 2012/020/R
1.
General
Note:
For the purpose of this AMC, vendors and sub-contractors are hereafter referred to as ‘suppliers’,
regardless of whether or not they hold a POA and audit and control is hereafter referred to as
‘surveillance’.
The production organisation is required by Part 21 to demonstrate that it has established and
maintains a quality system that enables the organisation to ensure that each item produced
conforms to the applicable design data and is in a condition for safe operation. To discharge this
responsibility, the quality system should have, among other requirements, procedures to
adequately carry out the assessment and surveillance of suppliers.
The use of Other Parties (OP), such as a consulting firm or quality assurance company, for
supplier assessment and surveillance does not exempt the POA holder from its obligations
under 21.A.165. The supplier assessment and surveillance, corrective action and follow-up
activity conducted at any of its supplier’s facilities may be performed by OP.
The purpose of using an OP cannot be to replace the assessment, audit and control of the POA
Holder. It is to allow an element (i.e. the assessment of the quality system) to be delegated to
another organisation under controlled conditions.
The use of OP to perform supplier assessments and surveillance should be part of the
production organisation quality system and fulfil the conditions of this AMC.
This AMC is applicable to a method whereby a POA holder has a documented arrangement with
OP for the purpose of assessing and/or surveying a POA's supplier.
2.
Approval by the competent authority
Implementing or changing procedures for using OP for supplier assessment and surveillance is
a significant change to the quality system and requires approval in accordance with 21.A.147.
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3.
Annex I
SECTION A — TECHNICAL
REQUIREMENTS
Conditions and criteria for the use of OP to perform supplier assessment and surveillance
(a)
The POA holder should include the use of OP for supplier assessment and surveillance in
the POA holders’ quality system to demonstrate compliance with the applicable
requirements of Part 21.
(b)
Procedures required for using OP for supplier assessment and surveillance should be
consistent with other procedures of the POA holders’ quality system.
(c)
Procedures of the POA holder that uses OP to perform supplier assessment and
surveillance should include the following:
(1)
Identification of the OP that will conduct supplier assessment and surveillance.
(2)
A listing of suppliers under surveillance by the OP. This listing should be maintained
by the POA holder and made available to the competent authority upon request.
(3)
The method used by the POA holder to evaluate and monitor the OP. The method
should include the following as a minimum:
(i)
Verification that standards and checklists used by the OP are acceptable for
the applicable scope.
(ii)
Verification that the OP is appropriately qualified and have sufficient
knowledge, experience and training to perform their allocated tasks.
(iii)
Verification that the OP surveillance frequency of the suppliers is
commensurate with the complexity of the product and with the surveillance
frequency established by the POA holder’s suppliers control programme.
(iv)
Verification that the suppliers’ assessment and surveillance is conducted onsite by the OP.
(v)
Verification that the OP has access to applicable proprietary data to the level
of detail necessary to survey suppliers functions.
Where the POA holder uses an OP accredited by a signatory to the European
cooperation for Accreditation (EA) Multilateral Agreement and working in
accordance with an aviation standard (e.g. EN 9104 series of requirements) that
describes requirements for the other party assessment and surveillance, the items
(ii) and (iv) shall be deemed to be complied with.
(d)
(4)
A definition to what scope the OP will conduct suppliers surveillance on behalf of
the POA holder. If the OP replaces surveillance in part, the POA holder should
identify the functions that will continue to be surveyed by the POA holder.
(5)
The procedures used by the OP to notify the POA holder of non-conformities
discovered at the suppliers facility, corrective action and follow-up.
The POA should make arrangements that allow the competent authority to make
investigation in accordance with 21.A.157 to include OP activities.
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Annex I
SECTION A — TECHNICAL
REQUIREMENTS
AMC No 2 to 21.A.139(b)(1)(ii) Vendor and sub-contractor
assessment, audit and control – Production Organisation Approval
(POA) holder using other party supplier certification
ED Decision 2012/020/R
1.
General
Note:
For the purpose of this AMC, vendors and sub-contractors are hereafter referred to as ‘suppliers’,
regardless of whether or not they hold a POA and audit and control is hereafter referred to as
‘surveillance’.
Other party supplier certification is a method whereby a supplier contracts with an
appropriately recognised or accredited Other Party (OP) for the purpose of obtaining a
certification from that OP. Certification indicates that the supplier has satisfactorily
demonstrated to meet the applicable standard on a continuing basis. OP certification results in
placing the supplier on the OP list of certified organisations, or in the supplier receiving a
certificate identifying the requirements that have been met. Periodic follow-up evaluations are
conducted by the OP to verify continued compliance with the requirements of the applicable
standard.
The production organisation is required by Part 21 to demonstrate that it has established and
maintains a quality system that enables the organisation to ensure that each item produced
conforms to the applicable design data and is in a condition for safe operation. To discharge this
responsibility, the quality system should have, among other requirements, procedures to
adequately carry out the assessment and surveillance of suppliers.
The assessment and surveillance of suppliers by an OP should be deemed to satisfy the
requirements of 21.A.139(b)(1)(ii) when the conditions of this AMC are satisfied. The
assessment and surveillance of suppliers by OP as part of supplier certification does not exempt
the POA holder from its obligations under 21.A.165. The supplier assessment and surveillance,
corrective action and follow-up activity conducted at any of its supplier’s facilities may be
performed by OP.
The purpose of using an OP cannot be to replace the assessment, audit and control of the POA
Holder. It is to allow an element (i.e. the assessment of the quality system) to be delegated to
another organisation under controlled conditions.
The use of suppliers that are certified by OP in accordance with this AMC should be part of a
production organisation quality system.
2.
Approval by the competent authority
Implementing or changing procedures for using suppliers that are certified by an OP is a
significant change to the quality system and requires approval in accordance with 21.A.147.
3.
Conditions and criteria for using supplier certification for the supplier assessment and
surveillance
(a)
The POA holder should include the use of supplier certification for the supplier
assessment and surveillance in the POA holder’s quality system to demonstrate
compliance with the applicable requirements of Part 21.
(b)
Procedures required for use of supplier certification for the supplier assessment and
surveillance should be consistent with other procedures of the POA holders’ quality
system.
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(c)
Annex I
SECTION A — TECHNICAL
REQUIREMENTS
Procedures of the POA holder that uses supplier certification for the supplier assessment
and surveillance should include the following:
(1)
Listing of the OP that has certified or will certify suppliers and will conduct supplier
assessment and surveillance or the scheme under which the accreditation of the
OP is controlled. This listing should be maintained by the POA holder and made
available to the competent authority upon request.
(2)
A listing of the certified suppliers under surveillance by the OP and used by the POA
holder. This listing should be maintained by the POA holder and made available to
the competent authority upon request.
(3)
The method used by the POA holder to evaluate and monitor the certification
process of any OP certification body or OP certification scheme used. This applies
not only to new suppliers, but also to any decision by the POA holder to rely on OP
certification of current suppliers. The method should include the following as a
minimum:
(i)
Verification that certification standards and checklists are acceptable and
applied to the applicable scope.
(ii)
Verification that the OP is appropriately qualified and has sufficient
knowledge, experience and training to perform its allocated tasks.
(iii)
Verification that the OP surveillance frequency of the suppliers is
commensurate with the complexity of the product and with the surveillance
frequency established by the POA holder’s suppliers control programme.
(iv)
Verification that the suppliers’ surveillance is conducted on-site by the OP.
(v)
Verification that the surveillance report will be made available to the
competent authority upon request.
(vi)
Verification that the OP continues to be recognised or accredited.
(vii)
Verification that the OP has access to applicable proprietary data to the level
of detail necessary to survey suppliers functions.
Where the POA holder uses an OP accredited by a signatory to the European cooperation for
Accreditation (EA) Multilateral Agreement and working in accordance with an aviation standard
(e.g. EN 9104 series of requirements) that describes requirements for the OP certification, the
items (ii), (iv) and (v) shall be deemed to be complied with:
(d)
(4)
A definition to what scope the OP will conduct suppliers surveillance on behalf of
the POA holder. If the OP replaces surveillance in part, the POA holder should
identify the functions that will continue to be surveyed by the POA holder.
(5)
Procedures that ensure that the POA is aware of the loss of an existing certification.
(6)
Procedures that ensure that the POA holder is aware of non-conformities and has
access to detailed information of these non-conformities.
(7)
Procedures to evaluate the consequences of non-conformities and take
appropriate actions.
The POA should make arrangements that allow the competent authority to make
investigation in accordance with 21.A.157 to include OP activities.
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Annex I
SECTION A — TECHNICAL
REQUIREMENTS
AMC-ELA No 1 to 21.A.139(b)(2) Quality system – Independent
quality assurance function
ED Decision 2019/003/R
The responsibility for the independent checking that the quality system functions in accordance with
point 21.A.139(b)(1)(xiv) is specified within the organisation. The responsible person(s) establish(es)
a schedule, which verifies all the elements of the quality system at least once a year. The schedule can
be complemented by unplanned audits if needed. The person(s) responsible obtain(s) direct
monitoring results and ensure(s) that corrective actions are taken when necessary.
GM-ELA No 1 to 21.A.139(b)(2) Quality system – Independent
quality assurance function
ED Decision 2019/003/R
The term ‘adequacy of procedures’ means that the quality system, through the use of the practised
methods or procedures as documented, is capable of meeting the conformity objectives identified in
point 21.A.139(a). This can be shown with the results from the implemented quality system, carried
out in accordance with point 21.A.139(b)(1)(xiv). Independent quality assurance monitoring can be
accomplished by structured experience exchanges, regular quality meetings, brainstorming or
lessons-learned sessions, project reviews at appropriate phases of the development, or by other
similar means.
The adequacy of the quality system should be assessed on the basis of the continued conformity of
the product with the approved type design. If the practised methods and the level of documentation
of procedures are not found to be adequate, a more detailed documented procedure may need to be
implemented to rectify the situation.
GM No 1 to 21.A.139(b)(2) Quality System – Independent quality
assurance function
ED Decision 2012/020/R
The quality assurance function which is part of the organisation is required to be independent from
the functions being monitored. This required independence relates to the lines of reporting, authority
and access within the organisation and assumes an ability to work without technical reliance on the
monitored functions.
GM No 2 to 21.A.139(b)(2) Quality System – Adequacy of
procedures and monitoring function
ED Decision 2012/020/R
Adequacy of procedures means that the quality system, through the use of the procedures as set forth,
is capable of meeting the conformity objectives identified in 21.A.139(a).
The quality assurance function to ensure the above should perform planned continuing and systematic
evaluations or audits of factors that affect the conformity (and, where required, safe operation) of the
products, parts or appliances to the applicable design. This evaluation should include all elements of
the quality system in order to demonstrate compliance with Part 21 Subpart G.
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Annex I
SECTION A — TECHNICAL
REQUIREMENTS
21.A.143 Exposition [applicable until 6 March 2023] / 21.A.143
Production organisation exposition [applicable from 7 March 2023 Regulation (EU) 2022/201]
Regulation (EU) 2015/1039
(a)
The organisation shall submit to the competent authority a production organisation exposition
providing the following information:
[applicable until 6 March 2023]
(a)
The production organisation shall establish and maintain a production organisation exposition
(POE) that provides directly or by cross reference the following information related to the
production management system as described in point 21.A.139:
[applicable from 7 March 2023 - Regulation (EU) 2022/201]
1.
a statement signed by the accountable manager confirming that the production
organisation exposition and any associated manuals which define the approved
organisation's compliance with this Subpart will be complied with at all times;
2.
the title(s) and names of managers accepted by the competent authority in accordance
with point 21.A.145(c)(2);
3.
the duties and responsibilities of the manager(s) as required by point 21.A.145(c)(2)
including matters on which they may deal directly with the competent authority on behalf
of the organisation;
4.
an organisational chart showing associated chains of responsibility of the managers as
required by point 21.A.145(c)(1) and (2);
5.
a list of certifying staff as referred to in point 21.A.145(d);
6.
a general description of man-power resources;
7.
a general description of the facilities located at each address specified in the production
organisation's certificate of approval;
8.
a general description of the production organisation's scope of work relevant to the terms
of approval;
9.
the procedure for the notification of organisational changes to the competent authority;
10.
the amendment procedure for the production organisation exposition;
11.
a description of the quality system and the procedures as required by
point 21.A.139(b)(1);
12.
a list of those outside parties referred to in point 21.A.139(a).
[points 11 and 12 applicable until 6 March 2023]
11.
a description of the production management system, the policy, processes and
procedures as provided for in point 21.A.139(c);
12.
a list of the outside parties referred to in point 21.A.139(d)(1);
[points 11and 12 applicable from 7 March 2023 - Regulation (EU) 2022/201]
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13.
(b)
Annex I
SECTION A — TECHNICAL
REQUIREMENTS
if flight tests are to be conducted, a flight test operations manual defining the
organisation’s policies and procedures in relation to flight test. The flight test operations
manual shall include:
(i)
a description of the organisation’s processes for flight test, including the flight test
organisation involvement into the permit to fly issuance process;
(ii)
crewing policy, including composition, competency, currency and flight time
limitations, in accordance with Appendix XII to this Annex I (Part 21), where
applicable;
(iii)
procedures for the carriage of persons other than crew members and for flight test
training, when applicable;
(iv)
a policy for risk and safety management and associated methodologies;
(v)
procedures to identify the instruments and equipment to be carried;
(vi)
a list of documents that need to be produced for flight test.
The production organisation exposition shall be amended as necessary to remain an up-to-date
description of the organisation, and copies of any amendments shall be supplied to the
competent authority.
[point (b) applicable until 6 March 2023]
(b)
The initial issue of the POE shall be approved by the competent authority.
(c)
The POE shall be amended as necessary so that it remains an up-to-date description of the
organisation. Copies of any amendments shall be supplied to the competent authority.
[points (b) and (c) applicable from 7 March 2023 - Regulation (EU) 2022/201]
AMC to 21.A.143, 21.A.243, 21.A.14(b), 21.A.112B(b) and
21.A.432B(b) Flight Test Operations Manual (FTOM)
ED Decision 2017/024/R
1.
General
a.
Scope: The FTOM covers flight test operations.
The FTOM complexity should be proportionate to the aircraft and the organisation
complexity.
b.
Format
The FTOM may:
— be included in the Design Organisation Approval (DOA)/Production Organisation
Approval (POA)/Alternative Procedure to DOA (APDOA) documents, or
— be a separate manual.
The FTOM may make reference to other documents to cover the contents listed below,
e.g. for record-keeping.
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c.
Annex I
SECTION A — TECHNICAL
REQUIREMENTS
Use by contractors or sub-contractors:
When flight tests are performed by contractors or sub-contractors, they should comply
with the FTOM of the primary organisations, unless they have established an FTOM in
compliance with Part-21, the use of which has been agreed between the two
organisations.
2.
The FTOM should contain the following elements:
a.
Exposition (not applicable in the case of APDOA):
If the FTOM is presented as a separate document, it should include a chart indicating the
structure of the organisation and, more specifically, the functional links of the people in
charge of flight test activities. It should also mention the coordination between all
departments affecting flight test, e.g. Design Office, Production and Maintenance, in
particular coordination for the establishment and update of a Flight Test Programme.
b.
Risk and safety management:
The FTOM should describe the organisation’s policy in relation to risk and safety
assessment, mitigation and associated methodologies.
c.
Crew members:
According to the flight test category, the FTOM should describe the organisation’s policy
on the composition of the crew (including the need to use a Lead Flight Test Engineer
(LFTE)) and the competence and currency of its flight test crew members, including
procedures for appointing crew members for each specific flight.
All crew members should be listed in the FTOM.
A flight time limitation policy should be established.
d.
Carriage of persons other than crew members:
According to the flight test category, the FTOM should describe the organisation’s policy
in relation to the presence and safety on-board, of people other than crew members
(i.e. with no flying duties).
People other than crew members should not be allowed on board for Category 1 flight
tests.
e.
Instruments and equipment:
The FTOM should list, depending on the nature of the flight, the specific safety-related
instruments and equipment that should be available on the aircraft or carried by people
on board.
The FTOM should contain provisions to allow flights to take place in case of defective or
missing instruments or equipment.
f.
Documents:
The FTOM should list the documents to be produced for flight test, and include (or refer
to) the procedures for their issue, update and follow-up to ensure the documents’
configuration control:
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(i)
Annex I
SECTION A — TECHNICAL
REQUIREMENTS
documents associated with a Flight Test Programme:
— Flight Order for a given flight, which should include:
— a list of the tests to be performed and associated conditions;
— safety considerations relevant to the flight;
— category of the flight (e.g. Category 1);
— composition of the crew;
— names of persons other than crew members;
— aircraft configuration items relevant to the test to be highlighted to the
crew;
— loading of the aircraft;
— reference to approved flight conditions; and
— restrictions relevant to the flight to be highlighted to the crew.
— Flight crew report.
g.
(ii)
documentation and information to be carried on the aircraft during flight test;
(iii)
record-keeping: the FTOM should describe the policy relative to record-keeping.
Permit to fly:
The FTOM should describe the involvement of the flight test organisation or flight test
team (as appropriate) in the process for the approval of flight conditions and the issue of
permits to fly in accordance with Subpart P.
h.
Currency and training:
The FTOM should describe how training for flight test is organised.
Currency of the flight test crew may be ensured either through recent experience or
refresher training.
For aircraft for which Appendix XII is applicable, minimum flight experience by year
should be:
— for pilots: 50 hours. In addition:
— for pilots with a flight test rating, the 50 hours should include 20 flight test
hours in any flight test category.
— for pilots performing a Category 3 flight test, the flight test experience should
be expressed in terms of a number of flights leading to the issue of a Certificate
of Airworthiness (CofA) (e.g. first flights).
— for pilots performing a Category 4 flight test, the minimum flight test
experience should be proportionate to the activity envisaged.
— for LFTEs: 10 flight test hours in any flight test category.
The FTOM should specify the requirements for a refresher training in order to ensure that
crew members are sufficiently current to perform the required flight test activity.
A system should be established to record the currency of the flight test crew’s training.
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Annex I
SECTION A — TECHNICAL
REQUIREMENTS
A valid national document (i.e. licence), issued by an EASA Member State under its
national regulations and ensuring compliance with the agreed currency requirements, is
an acceptable means of compliance to demonstrate currency for a pilot that holds a flight
test rating and for an LFTE.
AMC-ELA No 1 to 21.A.143 Exposition
ED Decision 2019/003/R
Note: The following provides the information, the acceptable level of detail and the format to be used
for the production organisation exposition (POE), and this section is numbered in accordance
with the numbering of point 21.A.143(a). If it is needed for completeness, the text of the
implementing rule is quoted in italics.
The exposition should contain:
1
A statement signed by the accountable manager that confirms that the production organisation
exposition and any associated manuals, which define the approved organisation’s compliance
with this Subpart, will be complied with at all times.
2
The titles and the names of the managers accepted by the competent authority in accordance
with point 21.A.145(c)(2). The titles and the names of the managers should include the
accountable manager (AM), and a statement that this manager is accountable for all the tasks,
even if the manager delegates some individual tasks. The delegation of tasks without a
delegation of responsibility is not required to be shown within the POE. Persons such as, for
example, the quality manager (QM) and the production manager (PM) should only be identified
within the POE if responsibilities are delegated to them as outlined by AMC-ELA No 1 to
21.A.145(c).
3
A statement that the AM is the formal point of contact with the competent authority unless
other persons under the direct responsibility of the AM are identified.
4
An organisational chart if the AM delegates responsibilities. The organisational chart should
identify the positions and the reporting lines of those persons who hold delegated
responsibilities. In cases where all the responsibilities remain with the AM, even though
individual tasks may be delegated, this delegation should be briefly described, and no
organisational chart is necessary.
5
A list of the certifying staff. This may be identified by a reference to a separate source (e.g. a
document, listing, intranet, etc.), and should be easily accessible to everyone concerned within
the company.
6
A general description of the manpower resources. This can be provided by stating the
approximate size of the organisation in full-time equivalents (FTEs).
7
A general description of the facilities. This should identify the addresses of the major places of
activity. The ‘major places of activity’ are those locations where the major activities take place
that finally lead to the completion of the product and the issuance of the statement of
conformity/release certificate.
8
The general description of the organisation’s scope of work should be provided as defined by
point 21.A.151 (see GM-ELA No 1 to 21.B.230), on the basis of the product type(s).
9
The procedure for the notification of organisational changes. This can be provided through a
reference to that procedure in the company manual (see also GM-ELA No 1 to 21.A.147).
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10
The procedure for the notification of organisational changes to the competent authority, which
can be provided by a declaration that the POE is kept up to date under the responsibility of the
AM, when changes to the organisation occur that affect the POE. Amendments to the POE are
released by the AM, and are distributed by following the implemented method for the control
of documented information to the locations identified in a generic or document-specific
distribution list, including distribution to the competent authority.
11
The description of the quality system and the procedures in the POE, which may use references
to the company manual, or to any other document applied in the quality system (e.g. in
accordance with ISO 9001, EN 9100, ASTM F2972 or other suitable standards). These references
do not need to explicitly include the revision status of these documents.
12
The list of outside parties, which should contain the outside parties that operate under the
quality system and the procedures of the manufacturer (i.e. the extended workbench).
13
The flight test operations manual (FTOM). The POE can use a reference to an FTOM that is
adequate for the production flight testing of new production aircraft, if this is applicable. If both
the design and manufacturing entities work within one consolidated flight test team, it is
acceptable to have one set of FTOM procedures defined for the whole team.
GM-ELA No 1 to 21.A.143 Exposition
ED Decision 2019/003/R
The purpose of the production organisation exposition (POE) is to provide in a concise and
documented format the organisational relationships, responsibilities, terms of reference, and the
associated authority, procedures, means and methods of the organisation.
The POE is not the top-level mechanism for organisational control and oversight, and it therefore does
not need to provide revision-controlled links to referenced documents. The POE should provide a highlevel summary of the organisation’s control and oversight methods, and appropriate cross references
that allow access to the manuals, procedures and instructions, if applicable.
The POE should be an accurate definition and description of the production organisation. The
document does not require approval in itself, but it will be considered when approving the
organisation.
The scope of the production organisation and the oversight is not limited to the locations that are
identified in the POE, which only shows the ‘major places of activity’.
The sublevel production location(s) does (do) not need to be identified in the POE. To ensure
transparency to the authority, and in analogy to the management of external suppliers, at least those
sublevel locations where manufacturing processes are exercised that require close process control
(‘special processes’) should be identified, but not necessarily as part of the POE. They may be identified
within the company manual or in a separate listing.
The scope of work automatically includes the products and all the spare parts required for the
identified products, without any further specifications or details. Capability lists are not required by
Subpart G. Separate from the statement of scope itself, a listing is provided that identifies the type(s)
produced by the approved production organisation.
Note: A POE template, which may be used for a small company (adapted to the company’s specifics),
is published by EASA.
When changes to the organisation occur that have an impact on the POE, the POE should be updated
in accordance with the agreed procedure. Significant changes to the approved production
organisation (as explained in GM-ELA No 1 to 21.A.147) require approval by the competent authority,
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Annex I
SECTION A — TECHNICAL
REQUIREMENTS
and could also change the POE. The POE document, which is amended in accordance with the
approved change, is not intended to be approved by the competent authority, and visual evidence of
the approval of the POE document is not needed.
GM 21.A.143 Exposition – Production Organisation Exposition (POE)
ED Decision 2012/020/R
The purpose of the POE is to set forth in a concise document format the organisational relationships,
responsibilities, terms of reference, and associated authority, procedures, means and methods of the
organisation.
The information to be provided is specified in 21.A.143(a). Where this information is documented and
integrated in manuals, procedures and instruction, the POE should provide a summary of the
information and an appropriate cross-reference.
The competent authority requires the POE to be an accurate definition and description of the
production organisation. The document does not require approval in itself, but it will be considered
as such by virtue of the approval of the organisation.
When changes to the organisation occur, the POE is required to be kept up to date per a procedure,
laid down in the POE. Significant changes to the organisation (as defined in GM 21.A.147(a)) should
be approved by the competent authority prior to update of the POE.
When an organisation is approved against any other implementing rule containing a requirement for
an exposition, a supplement covering the differences may suffice to meet the requirements of Part 21
Subpart G except that the supplement should have an index identifying where those parts missing
from the supplement are covered. Those items then formally become part of the POE. In any
combined documents the POE should be easily identifiable.
AMC-ELA No 1 to 21.A.143(a)(13) Exposition – Policies and
procedures related to flight test
ED Decision 2019/003/R
The objective of this AMC is to identify the items that need to be considered for a safe flight test, that
need to be practised, and, if necessary, defined in the flight test operations manual (FTOM) or related
procedures, templates or checklists. Those items are the following:
— A flight test plan, completed flight conditions, and the related Forms 18a and 20b for the purpose
of conducting the production flight testing of a new production aircraft that are provided as part
of the approved type design. These define:
— a crewing policy, including its composition, and any competence, currency and flight
time limitations;
— procedures for the carriage of persons other than crew members, and for flight test
training;
— a policy for risk and safety management, and associated methodologies that are
adequate for the purpose of the flight;
— a definition of the instruments and equipment to be carried on board during this test
flight; and
— a list of the records that need to be produced when conducting this flight test.
— This flight test plan constitutes the FTOM for this limited purpose.
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Annex I
SECTION A — TECHNICAL
REQUIREMENTS
AMC-ELA No 2 to 21.A.143(a)(13) Exposition – Policies and
procedures related to flight test
ED Decision 2019/003/R
For companies to which AMC-ELA No 1 to 21.A.143(a)(13) is not appropriate, the POA may implement
policies and procedures for conducting these activities that include a proportionate and efficient risk
and safety management system. This approach is documented either within a separate FTOM or as an
integral part of any other valid manual of the organisation, such as the company manual, or any other
relevant quality manual. The FTOM, or its equivalent, should be proportionate to the complexity of
the aircraft and the organisation.
The risk and safety management system, documented within the FTOM, or its equivalent, covers the
following aspects:
— The definition of the key qualifications, responsibilities and accountabilities for the staff involved
in conducting the flight test, and should cover at least:
— The Head of Flight Test (HoFT), who coordinates all the activities related to flight test,
and who assumes the responsibility for flight testing (which can be shared with other
management positions within the PO);
— The Flight Test Engineer, who manages the individual flight tests (or campaigns);
— The Test Pilot, who conducts any flight tests; and
— The Flight Test Mechanic, who conducts all the maintenance tasks and makes all the
configuration changes to the test aircraft.
One person who has adequate qualifications may act in more than one role. The HoFT should
have a direct reporting line to the AM.
— A method that provides practical guidance to conduct a hazard assessment to classify flight tests
according to the risks involved. At least two categories should be identified:
— Category 1: for high-risk flight tests; and
— Category 2: for medium- and low-risk flight tests.
— Definitions of generic risk mitigation strategies, such as the use of minimum and maximum
altitudes or airspeed safety margins, and safety rules to be obeyed for the typical major test
phases and missions.
— The identification of the aircraft-related safety equipment that needs to be available, including
references to the maintenance requirements of this equipment.
— The policy on how to alert and involve rescue services, such as the fire brigade or emergency
physicians, in order to provide sufficiently short reaction times.
— Crew qualifications, including requirements for their qualifications to be current and crew
(refresher) training, as required.
— For aircraft with MTOMs of 2 000 kg or more:
— the provisions of Appendix XII to Part-21 apply;
— the minimum flight experience per year should be:
— for pilots: 50 hours. In addition:
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— for pilots who have flight test ratings, the 50 hours should include 20 flight test
hours in any flight test category;
— for pilots to perform Category 3 flight tests, their flight test experience should
be expressed in terms of the number of flights that led to the issuing of a
certificate of airworthiness (CofA) (e.g. first flights);
— for pilots to perform Category 4 flight tests, their minimum flight test
experience should be proportionate to the activity envisaged.
— Crew composition and duty time limitations that are adequate for the kind of testing and the risk
category of the flight tests conducted by the POA.
The procedural aspects, documented within the FTOM, or its equivalent, should cover the following
aspects:
— The initiation and planning of a flight test activity, including, for example, but not limited to:
— hazard analysis;
— detailed flight test planning;
— the generation and approval of flight conditions;
— the definition and verification of the test-aircraft configuration;
— the preparation of the aircraft;
— the integration, calibration and verification of any flight test equipment;
— verification of the fitness of the aircraft for flight;
— issuing or obtaining a PtF;
— the preflight briefing, and conducting the flight test; and
— debriefing and data reporting.
— The identification of all the documents and records that are required to be generated or
maintained in relation to the flight test, including the definitions for the authority to sign.
— Identification of how training for flight tests is organised.
The definition of the methods required may be provided in different ways including but not limited to
flow charts, process descriptions, forms that are detailed enough to enforce adherence to the required
workflow, workflow implementation in IT-based ERP systems, or similar means.
The implementation of the standard FTOM, including its associated process definitions and forms,
ensures that there will be adherence to this AMC, and hence that there will be compliance with the
relevant requirements of Part-21.
Any flight tests that are subcontracted to a third party should comply with the FTOM of the POA,
unless the third party has established an FTOM that is in compliance with Part-21, and its use has been
agreed between the two organisations.
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21.A.145 Approval requirements [applicable until 6 March 2023] /
21.A.145 Resources [applicable from 7 March 2023 - Regulation
(EU) 2022/201]
Regulation (EU) 2021/1088
The production organisation shall demonstrate, on the basis of the information submitted in
accordance with point 21.A.143 that:
(a)
with regard to general approval requirements, facilities, working conditions, equipment and
tools, processes and associated materials, number and competence of staff, and general
organisation are adequate to discharge obligations under point 21.A.165;
(b)
with regard to all necessary airworthiness and environmental protection data:
(c)
(d)
1.
the production organisation is in receipt of such data from the Agency, and from the
holder of, or applicant for, the type-certificate, restricted type-certificate or design
approval, including any exemption granted against the environmental protection
requirements, to determine conformity with the applicable design data;
2.
the production organisation has established a procedure to ensure that airworthiness
and environmental data are correctly incorporated in its production data and,
3.
such data are kept up to date and made available to all personnel who need access to
such data to perform their duties.
with regard to management and staff:
1.
a manager has been nominated by the production organisation, and is accountable to the
competent authority. His or her responsibilities within the organisation shall consist of
ensuring that all production is performed to the required standards and that the
production organisation is continuously in compliance with the data and procedures
identified in the exposition referred to in point 21.A.143;
2.
a person or group of persons have been nominated by the production organisation to
ensure that the organisation is in compliance with the requirements of this Annex
(Part 21), and are identified, together with the extent of their authority. Such person(s)
shall act under the direct authority of the accountable manager referred to in point (1).
The person(s) nominated shall be able to show the appropriate knowledge, background
and experience to discharge their responsibilities;
3.
staff at all levels have been given appropriate authority to be able to discharge their
allocated responsibilities and that there is full and effective coordination within the
production organisation in respect of airworthiness and environmental data matters.
with regard to certifying staff, authorised by the production organisation to sign the documents
issued under point 21.A.163 under the scope or terms of approval:
1.
the knowledge, background (including other functions in the organisation), and
experience of the certifying staff are appropriate to discharge their allocated
responsibilities;
2.
the production organisation maintains a record of all certifying staff which shall include
details of the scope of their authorisation;
3.
certifying staff are provided with evidence of the scope of their authorisation.
[applicable until 6 March 2023]
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The production organisation shall demonstrate that:
(a)
the facilities, working conditions, equipment and tools, processes and associated materials,
number and competence of staff, and the general organisation are adequate to discharge its
obligations under point 21.A.165;
(b)
with regard to all the necessary airworthiness and environmental protection data:
(c)
(d)
1.
the production organisation holds all data it needs to determine conformity with the
applicable design data. Such data may originate from the Agency and from the holder of,
or applicant for, the type-certificate, restricted type-certificate or design approval, and
may include any exemption granted from the environmental protection requirements;
2.
the production organisation has established a procedure to ensure that the airworthiness
and environmental protection data are correctly incorporated in its production data;
3.
such data are kept up to date and made available to all personnel that need access to
such data to perform their duties;
with regard to management and staff:
1.
an accountable manager has been appointed by the production organisation with the
authority to ensure that, within the organisation, all production is performed to the
required standards and that the production organisation is continuously in compliance
with the requirements of the production management system referred to in
point 21.A.139, and the data and procedures identified in the POE referred to in
point 21.A.143;
2.
a person or group of persons has/have been nominated by the accountable manager to
ensure that the organisation is in compliance with the requirements of this Annex, and
are identified, together with the extent of their authority; such person or group of
persons shall be responsible to the accountable manager and have direct access to him.
The person or group of persons shall have the appropriate knowledge, background and
experience to discharge their responsibilities;
3.
staff at all levels have been given the appropriate authority to be able to discharge their
allocated responsibilities and that there is full and effective coordination within the
production organisation in respect of airworthiness and environmental protection data
matters;
with regard to certifying staff authorised by the production organisation to sign the documents
issued under point 21.A.163 within the scope of the terms of approval:
1.
they have the appropriate knowledge, background (including other functions in the
organisation) and experience to discharge their allocated responsibilities;
2.
they are provided with evidence of the scope of their authorisation.
[applicable from 7 March 2023 - Regulation (EU) 2022/201]
AMC-ELA No 1 to 21.A.145(a) Approval requirements – General
ED Decision 2019/003/R
The adequacy of the infrastructure and staffing may be demonstrated by producing conforming
products (on the basis that the type inspection results are part of the production final acceptance
process), at the anticipated production rate, and with an adequate staff workload.
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GM 21.A.145(a) Approval requirements
ED Decision 2012/020/R
A facility is a working area where the working conditions and the environment are controlled as
appropriate in respect of: cleanliness, temperature, humidity, ventilation, lighting, space/access,
noise, air pollution.
Equipment and tools should be such as to enable all specified tasks to be accomplished in a repeatable
manner without detrimental effect. Calibration control of equipment and tools which affect critical
dimensions and values should demonstrate compliance with, and be traceable to, national or
international standards.
Sufficient personnel means that the organisation has for each function according to the nature of the
work and the production rate, a sufficient quantity of qualified personnel to accomplish all specified
manufacturing tasks and to attest the conformity. Their number should be such that airworthiness
consideration may be applied in all areas without undue pressure.
An evaluation of the competence of personnel is performed as part of the quality system. This should
include, where appropriate, verification that specific qualification standards have been implemented,
for example NDT, welding, etc. Training should be organised to establish and maintain the personal
competence levels determined by the organisation to be necessary.
AMC-ELA No 1 to 21.A.145(b) Approval requirements –
Airworthiness noise fuel venting and exhaust emissions data
ED Decision 2019/003/R
For applicants whose design and production entities operate in one consolidated team, and for which
the applicable design data is provided as part of the approved type design data, the availability of all
the necessary airworthiness, noise, fuel venting and exhaust emissions data is considered to be met.
In all other cases, in accordance with the practised methods and procedures that were established as
part of the quality system, the PO can demonstrate that the production data contains all the necessary
data to determine that there is conformity with the applicable design data, and that this data is kept
up to date and is available to the relevant personnel.
GM 21.A.145(b)(2) Approval requirements – Airworthiness and
environmental protection, production/quality data procedures
ED Decision 2019/018/R
1
When a POA holder/applicant is developing its own manufacturing data, such as computerbased data, from the design data package delivered by a design organisation, procedures are
required to demonstrate the right transcription of the original design data.
2
Procedures are required to define the manner in which airworthiness and environmental data
is used to issue and update the production/quality data, which determines the conformity of
products, parts and appliances. The procedure must also define the traceability of such data to
each individual product, part or appliance for the purpose of certifying a condition for safe
operation and issuing a Statement of Conformity or EASA Form 1.
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AMC-ELA No 1 to 21.A.145(c) Approval requirements –
Management and staff
ED Decision 2019/003/R
EASA Form 4 should be used to nominate the accountable manager (AM) to the competent authority.
Further management staff members are not required to be nominated if the AM elects to take all the
required responsibilities (e.g. including quality manager responsibilities). If the AM delegates any of
the responsibilities as defined in 21.A.145(c) to sublevel managers, the sublevel managers who receive
this delegation have to be nominated to the competent authority by the use of EASA Form 4, and have
to be listed in the POE.
It should be demonstrated that the AM has sufficient power within the company to control the
production activity on the basis of the available resources, up to the point of stopping production
when adequate resources cannot be provided.
The AM may delegate individual tasks to sublevel managers, while still maintaining his/her
responsibilities and the power to make decisions; at the sublevel, in this case, the manager should
monitor the sublevel activities. Such delegation of tasks to sublevels is defined internally and does not
need to be formally declared to the competent authority.
GM 21.A.145(c)(1) Approval requirements – Accountable manager
ED Decision 2012/020/R
Accountable manager means the manager who is responsible, and has corporate authority for
ensuring that all production work is carried out to the required standard. This function may be carried
out by the Chief Executive or by another person in the organisation, nominated by him or her to fulfil
the function provided his or her position and authority in the organisation permits to discharge the
attached responsibilities.
The manager is responsible for ensuring that all necessary resources are available and properly used
in order to produce under the production approval in accordance with Part 21 Section A Subpart G.
The manager needs to have sufficient knowledge and authority to enable him or her to respond to the
competent authority regarding major issues of the production approval and implement necessary
improvements.
The manager needs to be able to demonstrate that he or she is fully aware of and supports the quality
policy and maintains adequate links with the quality manager.
GM 21.A.145(c)(2) Approval requirements – Responsible managers
ED Decision 2012/020/R
The person or persons nominated should represent the management structure of the organisation
and be responsible for all functions as specified in Part 21 Section A Subpart G. It therefore follows
that, depending on the size of the Part 21 Section A Subpart G organisation, the functions may be
subdivided under individual managers (and in fact may be further subdivided) or combined in a variety
of ways.
The competent authority requires the nominated managers to be identified and their credentials
submitted on an EASA Form 4 (see EASA Form 4 for Production Organisations on the EASA website
under: http://easa.europa.eu/certification/application-forms.php) to the competent authority in
order that they may be seen to be appropriate in terms of relevant knowledge and satisfactory
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experience related to the nature of the production activities as performed by the Part 21 Section A
Subpart G organisation.
The responsibilities and the tasks of each individual manager are required to be clearly defined, in
order to prevent uncertainties about the relations, within the organisation. In the case of organisation
structures where staff-members are responsible to more than one person, as for instance in matrix
and project organisations, responsibilities of the managers should be defined in such a way that all
responsibilities are covered.
Where a Part 21 Section A Subpart G organisation chooses to appoint managers for all or any
combination of the identified Part 21 functions because of the size of the undertaking, it is necessary
that these managers report ultimately to the accountable manager. In cases where a manager does
not directly report to the accountable manager, he or she should have a formally established direct
access to the accountable manager.
One such manager, normally known as the quality manager is responsible for monitoring the
organisation’s compliance with Part 21 Section A Subpart G and requesting remedial action as
necessary by the other managers or the accountable manager as appropriate. He or she should have
a direct access to the accountable manager.
AMC 21.A.145(d)(1) Approval requirements – Certifying staff
ED Decision 2012/020/R
1.
Certifying Staff are nominated by the production organisation to ensure that products, parts
and/or appliances qualify for Statements of Conformity or Release Certificates. Certifying Staff
positions and numbers are to be appropriate to the complexity of the product and the
production rate.
2.
The qualification of certifying staff is based on their knowledge, background and experience and
a specific training (or testing) established by the organisation to ensure that it is appropriate to
the product, part, or appliance to be released.
3.
Training must be given to develop a satisfactory level of knowledge of organisation procedures,
aviation legislation, and associated implementing rules, CS and GM, relevant to the particular
role.
4.
For that purpose, in addition to general training policy, the organisation must define its own
standards for training, including pre-qualification standards, for personnel to be identified as
certifying staff.
5.
Training policy is part of the Quality System and its appropriateness forms part of investigation
by the competent authority within the organisation approval process and subsequent
surveillance of persons proposed by managers.
6.
The training must be updated in response to experience gained and changes in technology.
7.
A feedback system to ascertain that the required standards are being maintained must be put
in place to ensure the continuing compliance of personnel to authorisation requirements.
8.
For release of products, parts or appliances, the responsibilities to issue statements of
conformity/release certificates (EASA Form 1) or permit to fly including approval of flight
conditions are allocated to the certifying staff identified in 21.A.145(d)(2).
9.
The competent authority holds the right to reject those personnel, appointed by the
organisation, if found to have inappropriate experience or not to otherwise comply with its
requirements.
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AMC-ELA No 1 to 21.A.145(d)(1) Approval requirements – Certifying
staff
ED Decision 2019/003/R
Certifying staff (CS) are nominated by the production organisation to ensure that products qualify for
statements of conformity or release certificates. The number of CS and their positions within the
organisation should be adequate to perform their duties and commensurate with the complexity of
the product and the production rate.
The nomination of the CS is based on their knowledge, background and experience, and specific
training (or testing) is established by the organisation to ensure that the CS members are appropriately
qualified for the product, part, or appliance to be released. This can be ensured by utilising
appropriately qualified Part-66 licence holders as inspectors, or inspectors who are qualified to
comparable standards that are agreed with the relevant competent authority.
The training of personnel who support CS at the subcomponent level may be ensured by on-the-job
training.
For the release of products, parts or appliances, the responsibilities for issuing statements of
conformity or release certificates (EASA Form 52, EASA Form 1), or PtFs and approvals of flight
conditions (if applicable), are allocated under the responsibility of the AM to individuals that are
nominated as CS.
AMC 21.A.145(d)(2) Approval requirements – Record of certifying
staff
ED Decision 2012/020/R
1.
The following is the minimum information to be recorded in respect of each certifying person:
(a)
Name
(b)
Date of Birth
(c)
Basic Training and standard attained
(d)
Specific Training and standard attained
(e)
If appropriate – Continuation Training
(f)
Experience
(g)
Scope of the authorisation
(h)
Date of first issue of the authorisation
(i)
If appropriate – expiry date of the authorisation
(j)
Identification Number of the authorisation
2.
The record may be kept in any format and must be controlled by an internal procedure of the
organisation. This procedure forms part of the quality system.
3.
Persons authorised to access the system must be maintained at a minimum to ensure that
records cannot be altered in an unauthorised manner and that confidential records cannot
become accessible to unauthorised persons.
4.
The certifying person must be given reasonable access on request to his or her own records.
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5.
Under the provision of 21.A.157 the competent authority has a right of access to the data held
in such a system.
6.
The organisation must keep the record for at least two years after the certifying person has
ceased employment with the organisation or withdrawal of the authorisation, whichever is the
sooner.
AMC-ELA No 1 to 21.A.145(d)(2) Approval requirements – Records
of certifying staff
ED Decision 2019/003/R
The following data should be recorded for each certifying staff (CS) member:
(a)
name;
(b)
date of birth;
(c)
basic training and the standard attained;
(d)
specific training and the standard attained;
(e)
if appropriate, continuation training;
(f)
experience;
(g)
scope of the authorisation;
(h)
date of first issue of the authorisation;
(i)
if applicable, the expiry date of the authorisation;
(j)
identification (number) of the authorisation;
(k)
documented acceptance of the nomination.
The above information is deemed to be sufficient to provide the CS with evidence of their scope of
authorisation.
The record of this data may be kept in any format. Each CS member should be given reasonable access
on request to his or her own records.
The organisation should keep these records for at least 2 years after the CS member has ceased to be
employed by the organisation, or 2 years after the withdrawal of their authorisation, whichever occurs
first.
AMC 21.A.145(d)(3) Approval requirements – Evidence of
authorisation
ED Decision 2012/020/R
1.
The authorisation document must be in a style that makes its scope clear to the certifying staff
and any authorised person who may require to examine the authorisation. Where codes are
used to define scope, an interpretation document should be readily available.
2.
Certifying staff are not required to carry the authorisation document at all times but should be
able to make it available within a reasonable time of a request from an authorised person.
Authorised persons include the competent authority.
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AMC-ELA No 1 to 21.A.145(d)(3) Approval requirements – Evidence
of authorisation
ED Decision 2019/003/R
Evidence of the scope of the authorisation may be provided in a reasonably accessible way within the
company, so that a staff member that needs to be aware of the authorisation can verify their status
whenever needed. This can be achieved by the provision of accessible listings of the nominated CS
members, or by other means. The issuing of individual badges or passes is not required.
21.A.147 Changes to the approved production organisation
[applicable until 6 March 2023] / 21.A.147 Changes in the
production management system applicable from 7 March 2023 Regulation (EU) 2022/201]
Regulation (EU) 2021/1088
(a)
After the issue of a production organisation approval, each change to the approved production
organisation that is significant to the showing of conformity or to the airworthiness and
environmental protection characteristics of the product, part or appliance, particularly changes
to the quality system, shall be approved by the competent authority. An application for approval
shall be submitted in writing to the competent authority and the organisation shall demonstrate
to the competent authority, before implementing the change, that it complies with this Subpart.
(b)
The competent authority shall establish the conditions under which a production organisation
approved under this Subpart may operate during such changes unless the competent authority
determines that the approval should be suspended.
[applicable until 6 March 2023]
After the issue of a production organisation approval certificate, each change in the production
management system that is significant for the demonstration of conformity or the airworthiness and
environmental protection characteristics of the product, part or appliance, shall be approved by the
competent authority before being implemented. The production organisation shall submit an
application for approval to the competent authority demonstrating that it will continue to comply with
this Annex.
[applicable from 7 March 2023 - Regulation (EU) 2022/201]
GM-ELA No 1 to 21.A.147 Changes to the approved production
organisation
ED Decision 2019/003/R
The company should consider whether to verify the classification of changes with the competent
authority.
The following changes are considered to be significant and require approval by the competent
authority prior to the implementation of the changes:
— significant changes to the production capacity or methods;
— changes in the structure of the organisation, especially those parts of the organisation that are in
charge of quality;
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— a change of the accountable manager (AM) or of any other person nominated under point
21.A.145(c)(2);
— changes in the production or quality systems that may have an important impact on the
conformity/airworthiness of each product, part or appliance;
— changes in the placement or control of significant subcontracted work or supplied parts;
— relocation of the major place of activities to a different geographic location, city, airfield or similar;
— changes in the scope of approval; and
— changes in ownership.
GM 21.A.147(a) Changes to the approved production organisation –
Significant changes
ED Decision 2012/020/R
1.
Changes to be approved by the competent authority include:
— Significant changes to production capacity or methods.
— Changes in the organisation structure especially those parts of the organisation in
charge of quality.
— A change of the accountable manager or of any other person nominated under
21.A.145(c)(2).
— Changes in the production or quality systems that may have an important impact on
the conformity/airworthiness of each product, part or appliance.
—
Changes in the placement or control of significant sub-contracted work or supplied
parts.
2.
To ensure that changes do not result in non-compliance with Part 21 Section A Subpart G it is in
the interest of both the competent authority and the approval holder to establish a relationship
and exchange information that will permit the necessary evaluation work to be conducted
before the implementation of a change. This relationship should also permit agreement on the
need for variation of the terms of approval (ref 21.A.143(a)(9)).
3.
Where a change of name or ownership results in the issue of a new approval the investigation
will normally take account of the competent authority’s knowledge and information from the
preceding approval.
4.
Changes of location are addressed in 21.A.148 and changes of ownership in 21.A.149, change
of scope of approval in 21.A.153.
21.A.148 Changes of location
Regulation (EU) No 748/2012
A change of the location of the manufacturing facilities of the approved production organisation shall
be deemed of significance and therefore shall comply with point 21.A.147.
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AMC 21.A.148 Changes of location – Management during change of
location
ED Decision 2012/020/R
1.
The relocation of any work, to an unapproved location, or a location with inappropriate scope
of approval, constitutes a change of significance to the organisation and requires approval by
the competent authority as prescribed in 21.A.147. An unapproved relocation will invalidate the
production organisation approval, and may necessitate re-application for any similar approval
required at the new location. However, suitable transitional arrangements may be agreed with
the competent authority, in advance of the relocation, which can allow continuation of the
approval.
2.
When an organisation expands its facility to include a new production location or moves parts
of its production to a new location the production organisation approval may continue in force,
but the approval does not include the new location until the competent authority has indicated
its satisfaction with the arrangements.
3.
For a change in location, taking an extended period of time, suitable transitional arrangements
would require preparation of a co-ordination plan for the removal. The plan must, at least,
identify the following:
(a)
A clearly identified person, or group of persons, responsible for co-ordinating the removal
and acting as focal point for communication with all parties, including the competent
authority.
(b)
The basis of the co-ordination plan, e.g., whether by product or area.
(c)
Planned timing of each phase of relocation.
(d)
Arrangements for maintaining the standards of the approval up to the point where the
production area is closed down.
(e)
Arrangements for verifying continued production quality upon resumption of work at the
new location.
(f)
Arrangements for check and/or re-calibration of inspection aids or production tools and
jigs before resuming production.
(g)
Procedures which ensure that goods are not released from the new location until their
associated production and quality systems have been verified.
(h)
Arrangements for keeping the competent authority informed of progress with the
relocation.
4.
From the co-ordination plan, the competent authority can determine the points at which it
wishes to conduct investigation.
5.
If an agreed co-ordination plan is in operation, the competent authority will normally allow the
existing approval to remain in force and will, where appropriate, grant an additional approval
to cover the new address for the duration of the move.
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Annex I
SECTION A — TECHNICAL
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GM-ELA No 1 to 21.A.148 Changes of location
ED Decision 2019/003/R
A change of location of the major place of activities to a different geographic location, city, airfield or
similar is deemed to be of significance, and is treated in line with GM-ELA No 1 to 21.A.147.
No other changes related to the location of the company, including a relocation within one building,
or to a neighbouring building on the same premises, or similar, are considered to be of significance,
as long as the parameters that are critical to the environment, infrastructure or equipment remain the
same, and are under the responsibility of the accountable manager (AM). Any other alterations will
be addressed during the subsequent periodical authority oversight.
21.A.149 Transferability
Regulation (EU) No 748/2012
Except as a result of a change in ownership, which is deemed significant for the purposes of point
21.A.147, a production organisation approval is not transferable.
GM 21.A.149 and 21.A.249 Transferability
ED Decision 2021/001/R
GENERAL
A transfer of approval to another production or design organisation is, by default, excluded by points
21.A.149 or 21.A.249 respectively. These points only allow it exceptionally if it is a direct consequence
of a transfer of ownership in an approved production or design organisation, which is then considered
a significant change to the existing approval (to which point 21.A.147 or 21.A.247 applies).
As a consequence, and in order to apply this exception, the production or design organisation has to
demonstrate to the competent authority the existence of a change in ownership which resulted in the
fact that a different legal entity is now conducting the approved production or design functions while
remaining effectively unchanged.
An example of such an exception is a change of ownership that leads to a re-registration of the
organisation (supported by the appropriate certificate from the National Companies Registration
Office or equivalent). In order to demonstrate that the organisation remains effectively unchanged,
the organisation needs to demonstrate that there are no changes affecting the initial demonstration
of compliance of the organisation with Subpart G or Subpart J. If, for instance, the change of ownership
would, in addition, lead to a change of address, facilities, type of work, staff, accountable manager or
persons nominated under points 21.A.145 or 21.B.245, then it is not an acceptable transfer situation;
the exception does not apply in this case. A new investigation by the competent authority would be
necessary. The new organisation would have to apply for its own approval. In such a case where the
organisation applies for a new approval, the demonstration of compliance in accordance with points
21.A.135 or 21.A.235 may be limited to the demonstration that the changes in the organisation comply
with the Subpart G or Subpart J requirements, while referring for the rest to the compliance
demonstration of the previous approval holder.
A pure name change, where the ownership does not change, does not require a transfer of the
approval. In this case, the natural or legal person that holds the approval remains the same. However,
as a consequence of the name change, the approval document needs to be amended to reflect the
new company name. This is a significant change, to which point 21.A.147 or 21.A.247 applies.
Another example of a transfer of ownership, which may be exceptionally accepted under points
21.A.149 or 21.A.249, may be the event of receivership (bankruptcy, insolvency or another equivalent
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Annex I
SECTION A — TECHNICAL
REQUIREMENTS
legal process). In this case, there is no change to the production or design organisation, except that
the custodial responsibility for its property, including its tangible and intangible assets and rights, is
transferred to a receiver or insolvency administrator. The receivership aims to continue the business
of the same organisation.
21.A.151 Terms of approval
Regulation (EU) No 748/2012
The terms of approval shall identify the scope of work, the products or the categories of parts and
appliances, or both, for which the holder is entitled to exercise the privileges under point 21.A.163.
Those terms shall be issued as part of a production organisation approval.
GM 21.A.151 Terms of approval – Scope and categories
ED Decision 2012/020/R
Terms of approval document(s) will be issued by the competent authority under 21.A.135 to identify
the scope of work, the products, and/or categories for which the holder is entitled to exercise the
privileges defined in 21.A.163.
The codes shown against each scope of work item are intended for use by the competent authority
for purposes such as managing, administering and filing details of approvals. It may also assist in the
production and publication of a list of approval holders.
The scope of work, the Products, Parts, or Appliances for which the POA holder is entitled to exercise
the privileges defined in 21.A.163 will be described by the competent authority as follows:
FOR PRODUCTS:
1.
General area, similar to the titles of the corresponding certification codes.
2.
Type of Product, in accordance with the type-certificate.
FOR PARTS AND APPLIANCES:
1.
General area, showing the expertise, e.g., mechanical, metallic structure.
2.
Generic type, e.g., wing, landing gear, tyres.
SCOPE OF WORK
A1
Large Aeroplanes
A2
Small Aeroplanes
A3
Large Helicopters
A4
Small Helicopters
A5
Gyroplanes
A6
Sailplanes
A7
Motor Gliders
A8
Manned Balloons
A9
Airships
A10 Light Sport Aeroplanes
A11 Very Light Aeroplanes
A12 Other
B1
Turbine Engines
B2
Piston Engines
B3
APU’s
B4
Propellers
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PRODUCTS/CATEGORIES
State types
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SECTION A — TECHNICAL
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SCOPE OF WORK
C1
Appliances:
PRODUCTS/CATEGORIES
State appliance generic types (e.g., Tyres, Altimeter, etc.)
Examples include:
Avionic, Com/Nav/Pulse Computer System,
Aircraft/Engine/Avionic Instruments,
Mechanical/Electrical/Gyroscopic/Electronic
Mechanical/Hydraulic/Pneumatic
C2
Parts:
D1
Maintenance
State part generic types (e.g., Wing, Landing Gear, etc.)
Examples include:
Structural, Metallic/non-metallic
Mechanical/Hydraulic/Pneumatic
Electrical Electronic
State aircraft types
D2
Issue of permit to fly
State aircraft types
21.A.153 Changes to the terms of approval
Regulation (EU) No 748/2012
Each change to the terms of approval shall be approved by the competent authority. An application
for a change to the terms of approval shall be made in a form and manner established by the
competent authority. The applicant shall comply with the applicable requirements of this Subpart.
AMC 21.A.153 Changes to the terms of approval – Application for a
change to the terms of approval
ED Decision 2012/020/R
EASA Form 51 (see AMC No 1 to 21.B.240) must be obtained from the competent authority and
completed in accordance with the procedures of the POE.
The information entered on the form is the minimum required by the competent authority to assess
the need for change of the production organisation approval.
The completed form and an outline of the changed POE, and details of the proposed change to POA
terms of approval must be forwarded to the competent authority.
AMC-ELA No 1 to 21.A.153 Changes to the terms of approval –
Application for a change to the terms of approval
ED Decision 2019/003/R
EASA Form 51 (see AMC No 1 to 21.B.240) should be obtained from the competent authority and
completed in accordance with the instructions provided by the competent authority. The information
entered on the form is needed by the competent authority in order to assess whether the production
organisation approval is to be amended. The completed form should be forwarded to the competent
authority. The applicant and the competent authority can agree on whether the assessment for a
change in approval can be completed via a desktop audit or through a surveillance audit.
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SECTION A — TECHNICAL
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21.A.157 Investigations
Regulation (EU) No 748/2012
A production organisation shall make arrangements that allow the competent authority to make any
investigations, including investigations of partners and subcontractors, necessary to determine
compliance and continued compliance with the applicable requirements of this Subpart.
[applicable until 6 March 2023 – Regulation (EU) 2022/201]
GM 21.A.157 Investigations – Arrangements
ED Decision 2012/020/R
The arrangements made by the applicant for, or holder of an approval under Part 21 Section A
Subpart G should allow the competent authority to make investigations that include the complete
production organisation including partners, sub-contractors and suppliers, whether they are in the
State of the applicant or not.
The investigation may include; audits, enquiries, questions, discussions and explanations, monitoring,
witnessing, inspections, checks, flight and ground tests and inspection of completed products, parts
or appliances produced under the POA.
In order to maintain its confidence in the standards achieved by a POA holder or applicant the
competent authority may make an investigation of a sample product part or appliance and its
associated records, reports and certifications.
The arrangements should enable the organisation to give positive assistance to the competent
authority and co-operate in performing the investigation during both initial assessment and for the
subsequent surveillance to maintain the POA.
Co-operation in performing investigation means that the competent authority has been given full and
free access to the facilities and to any information relevant to demonstrate compliance to Part 21
Section A Subpart G requirements, and assistance (personnel support, records, reports, computer
data, etc., as necessary).
Assistance to the competent authority includes all appropriate means associated with the facilities of
the production organisation to allow the competent authority to perform these investigations, such
as the availability of a meeting room, office and personnel support, documentation and data, and
communication facilities, all properly and promptly available as necessary.
The competent authority seeks to have an open relationship with the organisation and suitable liaison
personnel should be nominated to facilitate this, including suitable representative(s) to accompany
competent authority staff during visits not only at the organisations own facilities but also at subcontractors, partners or suppliers.
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GM1 21.A.139, 21.A.157, 21.A.239, 21.A.257, 21.B.120, 21.B.140,
21.B.220, 21.B.235 and 21.B.240 The use of information and
communication technologies (ICT) for performing remote audits
ED Decision 2021/007/R
This GM provides technical guidance on the use of remote information and communication
technologies (ICT) to support:
— competent authorities when overseeing regulated organisations;
— regulated organisations when conducting internal audits / monitoring compliance of their
organisation with the relevant requirements, and when evaluating vendors, suppliers and
subcontractors.
In the context of this GM:
— ‘remote audit’ means an audit that is performed with the use of any real-time video and audio
communication tools in lieu of the physical presence of the auditor on-site; the specificities of
each type of approval / letter of agreement (LoA) need to be considered in addition to the general
overview (described below) when applying the ‘remote audit’ concept;
— ‘auditing entity’ means the competent authority or organisation that performs the remote audit;
— ‘auditee’ means the entity being audited/inspected (or the entity audited/inspected by the
auditing entity via a remote audit);
It is the responsibility of the auditing entity to assess whether the use of remote ICT constitutes a
suitable alternative to the physical presence of an auditor on-site in accordance with the applicable
requirements.
The conduct of a remote audit
The auditing entity that decides to conduct a remote audit should describe the remote audit process
in its documented procedures and should consider at least the following elements:
— The methodology for the use of remote ICT is sufficiently flexible and non-prescriptive in nature
to optimise the conventional audit process.
— Adequate controls are defined and are in place to avoid abuses that could compromise the
integrity of the audit process.
— Measures to ensure that the security and confidentiality are maintained throughout the audit
activities (data protection and intellectual property of the organisation also need to be
safeguarded).
Examples of the use of remote ICT during audits may include but are not limited to:
— meetings by means of teleconference facilities, including audio, video and data sharing;
— assessment of documents and records by means of remote access, in real time;
— recording, in real time during the process, of evidence to document the results of the audit,
including non-conformities, by means of exchange of emails or documents, instant pictures, video
or/and audio recordings;
— visual (livestream video) and audio access to facilities, stores, equipment, tools, processes,
operations, etc.
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An agreement between the auditing entity and the auditee should be established when planning a
remote audit, which should include the following:
— determining the platform for hosting the audit;
— granting security and/or profile access to the auditor(s);
— testing platform compatibility between the auditing entity and the auditee prior to the audit;
— considering the use of webcams, cameras, drones, etc., when the physical evaluation of an event
(product, part, process, etc.) is desired or is necessary;
— establishing an audit plan which will identify how remote ICT will be used and the extent of their
use for the audit purposes to optimise their effectiveness and efficiency while maintaining the
integrity of the audit process;
— if necessary, time zone acknowledgement and management to coordinate reasonable and
mutually agreeable convening times;
— a documented statement of the auditee that they shall ensure full cooperation and provision of
the actual and valid data as requested, including ensuring any supplier or subcontractor
cooperation, if needed; and
— data protection aspects.
The following equipment and set-up elements should be considered:
— the suitability of video resolution, fidelity, and field of view for the verification being conducted;
— the need for multiple cameras, imaging systems, or microphones, and whether the person that
performs the verification can switch between them, or direct them to be switched and has the
possibility to stop the process, ask a question, move the equipment, etc.;
— the controllability of viewing direction, zoom, and lighting;
— the appropriateness of audio fidelity for the evaluation being conducted; and
— real-time and uninterrupted communication between the person(s) participating to the remote
audit from both locations (on-site and remotely).
When using remote ICT, the auditing entity and the other persons involved (e.g. drone pilots, technical
experts) should have the competence and ability to understand and utilise the remote ICT tools
employed to achieve the desired results of the audit(s)/assessment(s). The auditing entity should also
be aware of the risks and opportunities of the remote ICT used and the impacts they may have on the
validity and objectivity of the information gathered.
Audit reports and related records should indicate the extent to which remote ICT have been used in
conducting remote audits and the effectiveness of remote ICT in achieving the audit objectives,
including any item that it has not been able to be completely reviewed.
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SECTION A — TECHNICAL
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GM-ELA No 1 to 21.A.157 Investigations – Arrangements
ED Decision 2019/003/R
The production organisation is encouraged to coordinate with the competent authority on any
investigations that focus on issues that could result in unsafe conditions.
The production organisation grants to the competent authority full and free access to the facilities and
to any information that is relevant to demonstrate the conformity of the product to the approved type
design, and it provides assistance (personnel support, records, reports, computer data, etc., as
necessary) to the competent authority during the investigation.
In this context, assistance to the competent authority includes providing all the appropriate means
that are necessary to allow the competent authority to perform these investigations, such as making
available a meeting room, office and personnel support, documentation and data, and communication
facilities, which should all be properly and promptly made available as necessary.
21.A.158 Findings [applicable until 6 March 2023] / 21.A.158
Findings and observations [applicable from 7 March 2023 Regulation (EU) 2022/201]
Regulation (EU) No 748/2012
(a)
When objective evidence is found showing non-compliance of the holder of a production
organisation approval with the applicable requirements of this Annex I (Part 21), the finding
shall be classified as follows:
1.
a level one finding is any non-compliance with this Annex I (Part 21) which could lead to
uncontrolled non-compliances with applicable design data and which could affect the
safety of the aircraft;
2.
a level two finding is any non-compliance with this Annex I (Part 21) which is not classified
as level one.
(b)
A level three finding is any item where it has been identified, by objective evidence, to contain
potential problems that could lead to a non-compliance under point (a).
(c)
After receipt of notification of findings according to point 21.B.225,
1.
in case of a level one finding, the holder of the production organisation approval shall
demonstrate corrective action to the satisfaction of the competent authority within a
period of no more than 21 working days after written confirmation of the finding;
2.
in case of level two findings, the corrective action period granted by the competent
authority shall be appropriate to the nature of the finding but in any case initially shall
not be more than three months. In certain circumstances and subject to the nature of the
finding the competent authority may extend the three months period subject to the
provision of a satisfactory corrective action plan agreed by the competent authority;
3.
a level three finding shall not require immediate action by the holder of the production
organisation approval.
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Annex I
SECTION A — TECHNICAL
REQUIREMENTS
In case of level one or level two findings, the production organisation approval may be subject
to a partial or full limitation, suspension or revocation under point 21.B.245. The holder of the
production organisation approval shall provide confirmation of receipt of the notice of
limitation, suspension or revocation of the production organisation approval in a timely
manner.
[applicable until 6 March 2023]
(a)
After receipt of the notification of findings in accordance with point 21.B.225, the holder of the
production organisation approval certificate shall:
1.
identify the root cause(s) of, and contributing factor(s) to, the non-compliance;
2.
define a corrective action plan;
3.
demonstrate the implementation of the corrective action to the satisfaction of the
competent authority.
(b)
The actions referred to in point (a) shall be performed within the period agreed with that
competent authority in accordance with point 21.B.225.
(c)
The observations received in accordance with 21.B.225(e) shall be given due consideration by
the holder of the production organisation approval certificate. The organisation shall record the
decisions taken in respect of those observations.
[applicable from 7 March 2023 - Regulation (EU) 2022/201]
GM-ELA No 1 to 21.A.158 Findings
ED Decision 2019/003/R
An uncontrolled non-compliance with the applicable design data is a non-compliance that:
— cannot be discovered through systematic analysis; or
— prevents the identification of the affected products, parts, appliances, or materials.
A finding may only be classified as level 1 if the non-compliance has an effect on the condition of the
aircraft.
Any failure to allow the competent authority to have access to facilities to conduct investigations
should be classified as a level 1 finding.
It is recommended that the company should reach agreement with the competent authority on the
administrative closure of level 2 findings at regular surveillance intervals.
GM No 1 to 21.A.158(a) Uncontrolled non-compliance with
applicable design data
ED Decision 2012/020/R
An uncontrolled non-compliance with applicable design data is a non-compliance:
— that cannot be discovered through systematic analysis; or
— that prevents identification of affected products, parts, appliances, or material.
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GM No 2 to 21.A.158(a) Examples of level one findings
ED Decision 2012/020/R
Examples of level one findings are non-compliances with any of the following points, that could affect
the safety of the aircraft:
21.A.139, 21.A.145, 21.A.147, 21.A.148, 21.A.151, 21.A.163, 21.A.165(b), (c), (d), (e), (f) and (g).
It should be anticipated that a non-compliance with these points is only considered a level one finding
when objective evidence has been found that this finding is an uncontrolled non-compliance that
could affect the safety of the aircraft.
In addition, the failure to arrange for investigations under 21.A.157, in particular to obtain access to
facilities, after denial of one written request should be classified as a level one finding.
21.A.159 Duration and continued validity
Regulation (EU) No 748/2012
(a)
(b)
A production organisation approval shall be issued for an unlimited duration. It shall remain
valid unless:
1.
the production organisation fails to demonstrate compliance with the applicable
requirements of this Subpart; or
2.
the competent authority is prevented by the holder or any of its partners or
subcontractors to perform the investigations in accordance with point 21.A.157; or
3.
there is evidence that the production organisation cannot maintain satisfactory control
of the manufacture of products, parts or appliances under the approval; or
4.
the production organisation no longer meets the requirements of point 21.A.133; or
5.
the certificate has been surrendered or revoked under point 21.B.245.
Upon surrender or revocation, the certificate shall be returned to the competent authority.
[applicable until 6 March 2023]
(a)
(b)
A production organisation approval certificate shall be issued for an unlimited period of time. It
shall remain valid subject to the production organisation’s compliance with all the following
conditions:
1.
the production organisation continues to comply with the applicable requirements of
Regulation (EU) 2018/1139 and its delegated and implementing acts;
2.
the competent authority is permitted by the production organisation or by any of its
partners, suppliers or subcontractors to perform the investigations in accordance with
point 21.A.9;
3.
the production organisation is able to provide the competent authority with evidence
showing that it maintains satisfactory control of the manufacture of products, parts and
appliances under the approval;
4.
the production organisation approval certificate has not been revoked by the competent
authority under point 21.B.65, or surrendered by the production organisation.
Upon surrender or revocation, the production organisation approval certificate shall be
returned to the competent authority.
[applicable from 7 March 2023 - Regulation (EU) 2022/201]
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GM 21.A.159(a)(3) Evidence of a lack of satisfactory control
ED Decision 2012/020/R
A positive finding by the competent authority of:
1.
an uncontrolled non-compliance with type design data affecting the airworthiness of product
part or appliance
2.
an incident/accident identified as caused by POA holder
3.
non-compliance with the POE and its associated procedures which could affect conformity of
manufactured items to design data
4.
insufficient competence of certifying staff
5.
insufficient resources in respect of facilities, tools and equipment
6.
insufficient means to ensure good production work standards
7.
a lack of effective and timely response to prevent a recurrence of any of point 1 to 6.
21.A.163 Privileges
Regulation (EU) No 748/2012
Pursuant to the terms of approval issued under point 21.A.135, the holder of a production
organisation approval may:
(a)
perform production activities under this Annex I (Part 21);
(b)
in the case of complete aircraft and upon presentation of a statement of conformity
(EASA Form 52) under point 21.A.174, obtain an aircraft certificate of airworthiness and a noise
certificate without further showing;
(c)
in the case of other products, parts or appliances, issue authorised release certificates
(EASA Form 1) without further showing;
(d)
maintain a new aircraft that it has produced and issue a certificate of release to service
(EASA Form 53) in respect of that maintenance;
(e)
under procedures agreed with its competent authority for production, for an aircraft it has
produced and when the production organisation itself is controlling under its POA the
configuration of the aircraft and is attesting conformity with the design conditions approved for
the flight, to issue a permit to fly in accordance with point 21.A.711(c) including approval of the
flight conditions in accordance with point 21.A.710(b).
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GM1 21.A.130, 21.A.163 and 21.A.165 Performance of tasks in real
time for the issuance of an ‘EASA Form 1’ for prototype and new
parts, appliances and products other than complete aircraft, using
information and communication technologies (ICT)
ED Decision 2021/007/R
This GM provides technical guidance on the use of remote ICT to support the issuance of an ‘EASA
Form 1’ for prototype and newly produced parts, appliances and products other than complete
aircraft.
It is the responsibility of the production organisation to assess whether the use of remote ICT
constitutes a suitable alternative to the physical inspection of the part, appliance or product in
accordance with the applicable requirements. The production organisation that intends to use the
remote ICT for such purposes should first discuss the feasibility aspects with its competent authority.
(a)
Terminology
In the context of this GM, the following terminology is used:
— ‘issue of an EASA Form 1’ means the issuance of an EASA Form 1 under Part 21
Subpart G by a certifying staff, raise an EASA Form 1 under Part 21 Subpart F by an
authorised person, and the validation of an EASA Form 1 under Part 21 Subpart F by a
competent authority inspector, except in the case of issuance of an EASA Form 1 for the
correction of error(s) on a previously issued certificate and for the recertification of an
item from ‘prototype’ to ‘new’ provided that the design data has not changed;
— ‘authorised staff’ means certifying staff as defined in Part 21 Subpart G, and ‘authorised
person’ and ‘competent authority inspector’ as defined in Part 21 Subpart F;
— ‘item’ means any part, appliance or product other than a complete aircraft;
— ‘applicable design data’ means non-approved design data for a prototype item and
approved design data for a newly produced item;
— ‘task’ means any inspection, test and/or verification, as described in a documented
procedure, which is needed to be performed by an authorised staff before signing an
EASA Form 1;
— ‘remote ICT’ means any real-time video and audio communication tools using
information and communication technologies (ICT) whose aim is to enable the
performance of the task(s) by the authorised staff from a location different from that
where the item is located (on-site).
(b)
Regulatory context
The following entities may issue an EASA Form 1 for produced items in order to certify their
conformity to the applicable design data and, for new items, their condition for safe operation:
— the holder of a letter of agreement (LoA) that is issued in accordance with Part 21
Subpart F (refer to point 21.A.130(a));
— the competent authority in the context of Part 21 Subpart F (refer to point 21.A.130(d));
— the holder of a production organisation approval (POA) in accordance with Part 21
Subpart G (refer to point 21.A.163(c)).
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An EASA Form 1 has to be issued by appropriately qualified authorised staff. Part 21 does not
require authorised staff to be on-site when issuing an EASA Form 1, nor how the production
organisation and the competent authority shall determine whether the part/appliance/product
other than a complete aircraft conforms to the applicable design data and, for a new item, is in
a condition for safe operation. These should be detailed in a documented procedure accepted
by the competent authority.
Part 21 requires:
— in point 21.A.130(d) that the competent authority validate the EASA Form 1 following
inspections performed in accordance with 21.B.135(b) if it finds after the inspection
that the product, part or appliance conforms to the applicable design data and is in
condition for safe operation;
— in point 21.A.165(c) that the POA holder has to determine that:
— other products, parts or appliances are complete and conform to the approved
design data and are in a condition for safe operation before issuing an EASA Form 1;
— other products, parts or appliances conform to the applicable data before issuing an
EASA Form 1.
Typically, compliance with these requirements is ensured through the on-site presence of the
authorised staff in order to guarantee they have appropriate access to the item, as needed.
However, compliance with these requirements may be also ensured in certain circumstances,
determined as per the considerations described in point (c) below, by remotely conducting the
tasks which are needed before the issuance of an EASA Form 1 by the use of remote ICT. The
following considerations should be used as guidelines when the on-site presence of the
authorised staff is to be replaced by virtual presence, using remote ICT.
(c)
The use of remote ICT to support the issuance of an EASA Form 1
Remote ICT may have limitations that could render it unsuitable for some applications.
Accordingly, careful consideration and risk management should be applied when determining
when to use remote ICT. These considerations, listed below, are however not exhaustive and
should not be treated as a checklist.
(1)
General considerations
— As an overarching principle, it needs to be determined whether the nature of the
tasks to be performed by the authorised staff allows the use of remote ICT.
— The facility where the item is located:
— should be referred to in EASA Form 65 or EASA Form 55, directly or indirectly
by reference to the corresponding section of the manual or production
organisation exposition (POE); or
— for a POA, should be a facility from where a POE procedure related to point
21.A.139(b)(1)(xv) authorises the issuance of an EASA Form 1.
— The complexity, novelty and safety criticality of the item to be released with the EASA
Form 1 should be taken into account.
— The level of competence and experience of the personnel in the use of the particular
procedures and equipment that will be used to perform the tasks before issuing EASA
Form 1.
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— Previous experience of the organisation / confidence in the organisation’s inspection
system / quality system / management system.
— The appropriateness of the inspection and test instruments and/or equipment,
especially if used to evaluate qualitative aspects of a product, part or appliance.
(2)
Equipment and set-up considerations
— The suitability of video resolution, fidelity, and field of view for the task being
performed.
— The need for multiple cameras, imaging systems or microphones, and whether the
person that performs or witnesses the tasks can switch between them, or direct them
to be switched, and has the possibility to stop the process, ask a question, move the
equipment, etc.
— The controllability of viewing direction, zoom, and lighting.
— The appropriateness of audio fidelity for the evaluation being conducted.
— Whether real-time, uninterrupted communication between the person(s) authorised
to remotely witness the activity (authorised staff) and the personnel performing it
exists at the location where the item is located.
— The need for unique testing devices or equipment (for example, fast-frame cameras,
special lighting conditions, sensitive listening devices, mobile phones with cameras
for HD video calls).
— Whether personnel have been adequately trained in the proper set-up, validation
and use of the technology, tools and/or equipment to be used.
— The need for the recording of audio and video data, as well for its retention or for the
retention of other information.
(3)
Cybersecurity considerations
There are cases where the facilities where the tasks have to be performed are subject to
strict security limitations. When using remote ICT for the tasks needed before issuing an
EASA Form 1, it is the responsibility of the organisation to provide an equivalent level of
security, therefore the person that is responsible for IT security within the organisation
should concur to the ICT technology before proceeding.
(4)
Documenting the use of the remote ICT
The documented processes (procedures) developed by the holder of a letter of
agreement (LoA) or a POA should be accepted by the competent authority, and should
describe the following:
— the risk assessment process required to determine the appropriateness of the
remote ICT taking into account the above-mentioned considerations;
— the tasks to be performed, including preparation activities, inspections, tests,
verifications to be done, personnel involved in the remote ICT activities and their
level of competence;
— that it is necessary to guarantee that authorised staff have access to all necessary
data (e.g. drawings, schematics, datasheets, etc.) they require in order to determine
that the item conforms to the applicable design data, and how this can be ensured;
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— how remote ICT will be used in real time (not pre-recorded) so that authorised staff
may direct the performance of the tasks as if it were conducted in-person, on-site,
with the aid of the equipment or the personnel supporting the activity at the remote
location;
— the procedures for conducting a reinspection in case the equipment malfunctions or
the process fails to yield acceptable results; a reinspection using remote ICT may be
accomplished after correcting the malfunction or process, or by an actual on-site
inspection;
— how authorised staff should record and communicate any difficulties or concerns
regarding the process so that the organisation can improve its programme;
— how the use of the remote ICT will be documented in the required records; and
— how the organisation’s IT security is ensured throughout the remote ICT process
(data protection and intellectual property of the organisation also need to be
safeguarded).
AMC No 1 to 21.A.163(c) Computer generated signature and
electronic exchange of the EASA Form 1
ED Decision 2012/020/R
1.
Submission to the competent authority
Any POA holder/applicant intending to implement an electronic signature procedure to issue
EASA Form 1 and/or to exchange electronically such data contained on the EASA Form 1, should
document it and submit it to the competent authority as part of the documents attached with
its exposition.
2.
Characteristics of the electronic system generating the EASA Form 1
The electronic system should:
— guarantee secure access for each certifying staff;
— ensure integrity and accuracy of the data certified by the signature of the Form and be
able to show evidence of the authenticity of the EASA Form 1 (recording and record
keeping) with suitable security, safeguards and backups;
— be active only at the location where the part is being released with an EASA Form 1;
— not permit to sign a blank form;
— provide a high degree of assurance that the data has not been modified after signature
(if modification is necessary after issuance, i.e. re-certification of a part), a new form
with a new number and reference to the initial issuance should be made); and
—
provide for a ‘personal’ electronic signature, identifying the signatory. The
signature should be generated only in the presence of the signatory.
An electronic signature means data in electronic form which are attached to or logically
associated with other electronic data and which serve as a method of authentication and should
meet the following criteria:
— it is uniquely linked to the signatory;
— it is capable of identifying the signatory;
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— it is created using means that the signatory can maintain under their sole control.
The electronic signature is defined as an electronically generated value based on a
cryptographic algorithm and appended to data in a way to enable the verification of the data’s
source and integrity.
POA holders/applicants are reminded that additional national and/or European requirements
may need to be satisfied when operating electronic systems. ‘Directive 1999/93/EC of the
European Parliament and of the Council of 13 December 1999 on a Community framework for
electronic signatures’, as last amended may constitute a reference.
The electronic system should be based on a policy and management structure (confidentiality,
integrity and availability), such as:
— administrators, signatories;
—
scope of authorisation, rights;
—
password and secure access, authentication, protections, confidentiality;
—
track changes;
—
minimum blocks to be completed, completeness of information;
—
archives;
—
etc.
The electronic system generating the EASA Form 1 may contain additional data such as:
3.
—
manufacturer code;
—
customer identification code;
—
workshop report;
—
inspection results;
—
etc.
Characteristics of the computer generated signature
To facilitate understanding and acceptance of the EASA Form 1 released with an electronic
signature, the following statement should be in Block 13b: ‘Electronic Signature on File’.
In addition to this statement, it is accepted to print or display a signature in any form such as a
representation of the hand-written signature of the person signing (i.e. scanned signature) or
their name.
When printing the electronic form, the EASA Form 1 should meet the general format as specified
in Appendix I to Part 21. A watermark-type ‘PRINTED FROM ELECTRONIC FILE’ should be printed
on the document.
When the electronic file contains a hyperlink to data, required to determine the airworthiness
of the item(s), the data associated to the hyperlink, when printed, should be in a legible format
and be identified as a reference from the EASA Form 1.
Additional information not required by the EASA Form 1 completion instructions may be added
to the printed copies of EASA Form 1 as long as the additional data do not prevent a person
from filling out, issuing, printing, or reading any portion of the EASA Form 1. This additional data
should be provided only in block 12 unless it is necessary to include it in another block to clarify
the content of that block.
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Electronic exchange of the electronic EASA Form 1
The electronic exchange of the electronic EASA Form 1 should be accomplished on a voluntary
basis. Both parties (issuer and receiver) should agree on electronic transfer of the EASA Form 1.
For that purpose, the exchange needs to include:
—
all data of the EASA Form 1, including data referenced from the EASA Form 1;
—
all data required for authentication of the EASA Form 1.
In addition, the exchange may include:
—
—
data necessary for the electronic format;
additional data not required by the EASA Form 1 completion instructions, such as
manufacturer code, customer identification code.
The system used for the exchange of the electronic EASA Form 1 should provide:
— a high level of digital security; the data should be protected, unaltered or uncorrupted;
— traceability of data back to its source should be possible.
Trading partners wishing to exchange EASA Form 1 electronically should do so in accordance
with these means of compliance stated in this document. It is recommended that they use an
established, common, industry method such as Air Transport Association (ATA) Spec 2000
Chapter 16.
The applicant(s) is/are reminded that additional national and/or European requirements may
need to be satisfied when operating the electronic exchange of the electronic EASA Form 1.
The receiver should be capable of regenerating the EASA Form 1 from the received data without
alteration; if not the system should revert back to the paper system.
When the receiver needs to print the electronic form, refer to the subparagraph 3 above.
AMC2 21.A.163(c) Completion of EASA Form 1
ED Decision 2021/011/R
EASA Form 1 Block 8 ‘Part Number’
The part number as it appears on the item, is usually defined in the design data; however in the case
of a kit of parts, media containing software or any other specific condition of supply may be defined
in production data developed from design data. Information about the contents of the kit or media
may be given in block 12 or in a separate document cross-referenced from block 12.
EASA Form 1 Block 12 ‘Remarks’
Examples of conditions which would necessitate statements in Block 12 are:
— When the certificate is used for prototype purposes the following statement must be entered at
the beginning of block 12:
‘NOT ELIGIBLE FOR INSTALLATION ON IN-SERVICE TYPE-CERTIFICATED AIRCRAFT’.
— Re-certification of items from ‘prototype’ (conformity only to non-approved data) to ‘new’
(conformity to approved data and in a condition for safe operation) once the applicable design
data is approved.
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The following statement must be entered in block 12:
RE-CERTIFICATION OF ITEMS FROM ‘PROTOTYPE’ TO ‘NEW’:
THIS DOCUMENT CERTIFIES THE APPROVAL OF THE DESIGN DATA [insert TC/STC number,
revision level], DATED [insert date if necessary for identification of revision status], TO WHICH
THIS ITEM (THESE ITEMS) WAS (WERE) MANUFACTURED.
— When a new certificate is issued to correct error(s) the following statement must be entered in
block 12:
‘THIS CERTIFICATE CORRECTS THE ERROR(S) IN BLOCK(S) [enter block(s) corrected] OF THE
CERTIFICATE [enter original tracking number] DATED [enter original issuance date] AND DOES
NOT COVER CONFORMITY/ CONDITION/RELEASE TO SERVICE’.
Examples of data to be entered in this block as appropriate:
— For complete engines, a statement of compliance with the applicable emissions requirements
current on the date of manufacture of the engine.
— For ETSO articles, state the applicable ETSO number.
— Modification standard.
— Compliance or non-compliance with airworthiness directives or service bulletins.
— Details of repair work carried out, or reference to a document where this is stated.
— Shelf-life data, manufacture date, cure date, etc.
— Information needed to support shipment with shortages or reassembly after delivery.
— References to aid traceability, such as batch numbers.
— In the case of an engine, if the competent authority has granted an exemption from the applicable
engine environmental protection requirements, the record: ‘ENGINE EXEMPTED FROM
[REFERENCE TO THE TYPE OF EMISSION] EMISSIONS ENVIRONMENTAL PROTECTION
REQUIREMENT’.
AMC-ELA No 1 to 21.A.163(c) Privileges to issue authorised release
certificates
ED Decision 2019/003/R
Block 12 on any issued EASA Form 1 is filled with the following statement:
‘ELIGIBLE ONLY FOR INSTALLATION ON AIRCRAFT THAT ARE NOT CLASSIFIED AS COMPLEX MOTOR
POWERED AIRCRAFT, AND THAT ARE EITHER AEROPLANES WITHIN THE SCOPE OF CS-LSA, CS VLA OR
CS-23 LEVEL 1, OR SAILPLANES OR POWERED SAILPLANES WITHIN THE SCOPE OF CS-22, OR BALLOONS,
HOT AIR AIRSHIPS OR GAS AIRSHIPS THAT ARE ELA2 AIRCRAFT.’
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AMC1 21.A.163(d) Privileges
ED Decision 2021/001/R
MAINTENANCE
The applicant may apply for terms of approval, which cover maintenance of a new aircraft that it has
manufactured, as necessary to keep it in an airworthy condition, but not beyond the point at which
the applicable operational rules require maintenance to be performed by an approved maintenance
organisation. If the production organisation intends to maintain the aircraft beyond that point, it
would have to apply for and obtain an appropriate maintenance approval.
When the competent authority is satisfied that the procedures required by 21.A.139 are satisfactory
to control maintenance activities so as to ensure that the aircraft is airworthy, this capability will be
stated in the terms of approval.
MAINTENANCE OF AIRCRAFT
Examples of such maintenance activities are:
— Preservation, periodic inspection visits, etc.
— Embodiment of a Service Bulletin.
— Application of airworthiness directives.
— Repairs.
— Maintenance tasks resulting from special flights.
— Maintenance tasks to maintain airworthiness during flight training, demo flights and other nonrevenue flights.
Any maintenance activities must be recorded in the Aircraft Log Book. It must be signed by
certifying staff for attesting the conformity of the work to the applicable airworthiness data.
In some cases the Aircraft Log Book is not available, or the production organisation prefers to use a
separate form (for instance for a large work package or for delivery of the aircraft to the customer).
In these cases, production organisations must use EASA Form 53 which must subsequently become
part of the aircraft maintenance records.
MAINTENANCE OF COMPONENTS OUTSIDE THE POA CAPABILITY
Such a maintenance activity outside the capability of the aircraft POA holder may still be accomplished
under the production approval of the original release organisation. In such circumstances, the
engine(s), propeller(s), parts and appliances will require re-release in accordance with point
21.A.163(c) (EASA Form 1).
Records relevant to continued airworthiness or retirement lives, such as engine runs, flight hours,
landings, etc., which affect part retirement of maintenance schedules must be specified on any rerelease.
As an alternative the engine, propeller, part or appliance may be maintained by the holder of an
approval in accordance with Part 145, classified and released as ‘used’.
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AMC 21.A.163(e) Procedure for the issue of a permit to fly including
approval of the flight conditions
ED Decision 2012/020/R
1.
INTENT
This acceptable means of compliance provides means to develop a procedure for the issue of a
permit to fly including approval of the flight conditions.
Each POA applicant or holder must develop its own internal procedure following this AMC, in
order to obtain the privilege of 21.A.163(e) to issue permits to fly for an aircraft under
procedures agreed with its competent authority for production, when the production
organisation itself is controlling under its POA the configuration of the aircraft and is attesting
conformity with the design conditions approved for the flight.
2.
PROCEDURE FOR THE ISSUE OF A PERMIT TO FLY
2.1
Content
The procedure must address the following points:
— as relevant, in accordance with 21.A.710(b), the approval of flight conditions;
— conformity with approved conditions;
— issue of the permit to fly under the POA privilege;
— authorised signatories;
— interface with the local authority for the flight.
2.2
Approval of the flight conditions (when relevant)
The procedure must include the process to establish and justify the flight conditions, in
accordance with 21.A.708 and how compliance with 21.A.710(c) is established, and
include the EASA Form 18B as defined in AMC 21.A.709(b) for the approval under the
POA privilege.
2.3
Conformity with approved conditions
The procedure must indicate how conformity with approved conditions is made,
documented and attested by an authorised person.
2.4
Issue of the permit to fly under the POA privilege
The procedure must describe the process to prepare the EASA Form 20b and how
compliance with 21.A.711(c) and (e) is established before signature of the permit to fly.
2.5
Authorised signatories
The person(s) authorised to sign the permit to fly under the privilege of 21.A.163(e) must
be identified (name, signature and scope of authority) in the procedure, or in an
appropriate document linked to the Production Organisation Exposition.
2.6
Interface with the local authority for the flight
The procedure must include provisions describing the communication with the local
authority for compliance with the local requirements which are outside the scope of the
conditions of 21.A.708(b) (see 21.A.711(e)).
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21.A.165 Obligations of the holder
Regulation (EU) 2020/570
The holder of a production organisation approval shall:
(a)
ensure that the production organisation exposition furnished in accordance with point 21.A.143
and the documents to which it refers, are used as basic working documents within the
organisation;
(b)
maintain the production organisation in conformity with the data and procedures approved for
the production organisation approval;
(c)
1.
determine that each completed aircraft conforms to the type design and is in condition
for safe operation prior to submitting statements of conformity to the competent
authority; or
2.
determine that other products, parts or appliances are complete and conform to the
approved design data and are in a condition for safe operation before issuing an
EASA Form 1 to certify conformity to approved design data and condition for safe
operation;
3.
Additionally, in the case of environmental requirements determine that:
4.
(i)
the completed engine is in compliance with the applicable engine exhaust
emissions requirements on the date of manufacture of the engine; and
(ii)
the completed aeroplane is in compliance with the applicable CO2 emissions
requirements on the date its first certificate of airworthiness is issued.
determine that other products, parts or appliances conform to the applicable data before
issuing an EASA Form 1 as a conformity certificate.
(d)
record all details of work carried out;
(e)
establish and maintain an internal occurrence reporting system in the interest of safety, to
enable the collection and assessment of occurrence reports in order to identify adverse trends
or to address deficiencies, and to extract reportable occurrences. This system shall include
evaluation of relevant information relating to occurrences and the promulgation of related
information;
(f)
1.
report to the holder of the type-certificate or design approval, all cases where products,
parts or appliances have been released by the production organisation and subsequently
identified to have possible deviations from the applicable design data, and investigate
with the holder of the type-certificate or design approval in order to identify those
deviations which could lead to an unsafe condition;
2.
report to the Agency and the competent authority of the Member State the deviations
which could lead to an unsafe condition identified according to point (1). Such reports
shall be made in a form and manner established by the Agency under point 21.A.3A(b)(2)
or accepted by the competent authority of the Member State;
3.
where the holder of the production organisation approval is acting as a supplier to
another production organisation, report also to that other organisation all cases where it
has released products, parts or appliances to that organisation and subsequently
identified them to have possible deviations from the applicable design data;
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(g)
provide assistance to the holder of the type-certificate or design approval in dealing with any
continuing airworthiness actions that are related to the products parts or appliances that have
been produced;
(h)
establish an archiving system incorporating requirements imposed on its partners, suppliers and
subcontractors, ensuring conservation of the data used to justify conformity of the products,
parts or appliances. Such data shall be held at the disposal of the competent authority and be
retained in order to provide the information necessary to ensure the continuing airworthiness
of the products, parts or appliances;
[points (d) to (h) applicable until 6 March 2023]
(d)
provide assistance to the holder of the type-certificate or other design approval in dealing with
any continuing airworthiness actions that are related to the products, parts or appliances that
have been produced;
(e)
where, under its terms of approval, the holder of a production organisation approval intends to
issue a certificate of release to service, determine, prior to issuing the certificate, that each
completed aircraft has been subjected to necessary maintenance and is in condition for safe
operation;
(f)
where applicable, under the privilege set out in point 21.A.163(e), determine the conditions
under which a permit to fly can be issued;
(g)
where applicable, under the privilege set out in point 21.A.163(e), establish compliance with
points 21.A.711(c) and (e) before issuing an aircraft with a permit to fly;
(h)
comply with Subpart A of this Section.
[points (d) to (h) applicable from 7 March 2023 - Regulation (EU) 2022/201]
(i)
where, under its terms of approval, the holder issues a certificate of release to service,
determine that each completed aircraft has been subjected to necessary maintenance and is in
condition for safe operation, prior to issuing the certificate;
(j)
where applicable, under the privilege of point 21.A.163(e), determine the conditions under
which a permit to fly can be issued;
(k)
where applicable, under the privilege of point 21.A.163(e), establish compliance with points
21.A.711(c) and (e) before issuing a permit to fly to an aircraft.
[points (i), (j) and (k) applicable until 6 March 2023]
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GM1 21.A.130, 21.A.163 and 21.A.165 Performance of tasks in real
time for the issuance of an ‘EASA Form 1’ for prototype and new
parts, appliances and products other than complete aircraft, using
information and communication technologies (ICT)
ED Decision 2021/007/R
This GM provides technical guidance on the use of remote ICT to support the issuance of an ‘EASA
Form 1’ for prototype and newly produced parts, appliances and products other than complete
aircraft.
It is the responsibility of the production organisation to assess whether the use of remote ICT
constitutes a suitable alternative to the physical inspection of the part, appliance or product in
accordance with the applicable requirements. The production organisation that intends to use the
remote ICT for such purposes should first discuss the feasibility aspects with its competent authority.
(a)
Terminology
In the context of this GM, the following terminology is used:
— ‘issue of an EASA Form 1’ means the issuance of an EASA Form 1 under Part 21
Subpart G by a certifying staff, raise an EASA Form 1 under Part 21 Subpart F by an
authorised person, and the validation of an EASA Form 1 under Part 21 Subpart F by a
competent authority inspector, except in the case of issuance of an EASA Form 1 for the
correction of error(s) on a previously issued certificate and for the recertification of an
item from ‘prototype’ to ‘new’ provided that the design data has not changed;
— ‘authorised staff’ means certifying staff as defined in Part 21 Subpart G, and ‘authorised
person’ and ‘competent authority inspector’ as defined in Part 21 Subpart F;
— ‘item’ means any part, appliance or product other than a complete aircraft;
— ‘applicable design data’ means non-approved design data for a prototype item and
approved design data for a newly produced item;
— ‘task’ means any inspection, test and/or verification, as described in a documented
procedure, which is needed to be performed by an authorised staff before signing an
EASA Form 1;
— ‘remote ICT’ means any real-time video and audio communication tools using
information and communication technologies (ICT) whose aim is to enable the
performance of the task(s) by the authorised staff from a location different from that
where the item is located (on-site).
(b)
Regulatory context
The following entities may issue an EASA Form 1 for produced items in order to certify their
conformity to the applicable design data and, for new items, their condition for safe operation:
— the holder of a letter of agreement (LoA) that is issued in accordance with Part 21
Subpart F (refer to point 21.A.130(a));
— the competent authority in the context of Part 21 Subpart F (refer to point 21.A.130(d));
— the holder of a production organisation approval (POA) in accordance with Part 21
Subpart G (refer to point 21.A.163(c)).
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An EASA Form 1 has to be issued by appropriately qualified authorised staff. Part 21 does not
require authorised staff to be on-site when issuing an EASA Form 1, nor how the production
organisation and the competent authority shall determine whether the part/appliance/product
other than a complete aircraft conforms to the applicable design data and, for a new item, is in
a condition for safe operation. These should be detailed in a documented procedure accepted
by the competent authority.
Part 21 requires:
— in point 21.A.130(d) that the competent authority validate the EASA Form 1 following
inspections performed in accordance with 21.B.135(b) if it finds after the inspection
that the product, part or appliance conforms to the applicable design data and is in
condition for safe operation;
— in point 21.A.165(c) that the POA holder has to determine that:
— other products, parts or appliances are complete and conform to the approved
design data and are in a condition for safe operation before issuing an EASA Form 1;
— other products, parts or appliances conform to the applicable data before issuing an
EASA Form 1.
Typically, compliance with these requirements is ensured through the on-site presence of the
authorised staff in order to guarantee they have appropriate access to the item, as needed.
However, compliance with these requirements may be also ensured in certain circumstances,
determined as per the considerations described in point (c) below, by remotely conducting the
tasks which are needed before the issuance of an EASA Form 1 by the use of remote ICT. The
following considerations should be used as guidelines when the on-site presence of the
authorised staff is to be replaced by virtual presence, using remote ICT.
(c)
The use of remote ICT to support the issuance of an EASA Form 1
Remote ICT may have limitations that could render it unsuitable for some applications.
Accordingly, careful consideration and risk management should be applied when determining
when to use remote ICT. These considerations, listed below, are however not exhaustive and
should not be treated as a checklist.
(1)
General considerations
— As an overarching principle, it needs to be determined whether the nature of the
tasks to be performed by the authorised staff allows the use of remote ICT.
— The facility where the item is located:
— should be referred to in EASA Form 65 or EASA Form 55, directly or indirectly
by reference to the corresponding section of the manual or production
organisation exposition (POE); or
— for a POA, should be a facility from where a POE procedure related to point
21.A.139(b)(1)(xv) authorises the issuance of an EASA Form 1.
— The complexity, novelty and safety criticality of the item to be released with the EASA
Form 1 should be taken into account.
— The level of competence and experience of the personnel in the use of the particular
procedures and equipment that will be used to perform the tasks before issuing EASA
Form 1.
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— Previous experience of the organisation / confidence in the organisation’s inspection
system / quality system / management system.
— The appropriateness of the inspection and test instruments and/or equipment,
especially if used to evaluate qualitative aspects of a product, part or appliance.
(2)
Equipment and set-up considerations
— The suitability of video resolution, fidelity, and field of view for the task being
performed.
— The need for multiple cameras, imaging systems or microphones, and whether the
person that performs or witnesses the tasks can switch between them, or direct them
to be switched, and has the possibility to stop the process, ask a question, move the
equipment, etc.
— The controllability of viewing direction, zoom, and lighting.
— The appropriateness of audio fidelity for the evaluation being conducted.
— Whether real-time, uninterrupted communication between the person(s) authorised
to remotely witness the activity (authorised staff) and the personnel performing it
exists at the location where the item is located.
— The need for unique testing devices or equipment (for example, fast-frame cameras,
special lighting conditions, sensitive listening devices, mobile phones with cameras
for HD video calls).
— Whether personnel have been adequately trained in the proper set-up, validation
and use of the technology, tools and/or equipment to be used.
— The need for the recording of audio and video data, as well for its retention or for the
retention of other information.
(3)
Cybersecurity considerations
There are cases where the facilities where the tasks have to be performed are subject to
strict security limitations. When using remote ICT for the tasks needed before issuing an
EASA Form 1, it is the responsibility of the organisation to provide an equivalent level of
security, therefore the person that is responsible for IT security within the organisation
should concur to the ICT technology before proceeding.
(4)
Documenting the use of the remote ICT
The documented processes (procedures) developed by the holder of a letter of
agreement (LoA) or a POA should be accepted by the competent authority, and should
describe the following:
— the risk assessment process required to determine the appropriateness of the
remote ICT taking into account the above-mentioned considerations;
— the tasks to be performed, including preparation activities, inspections, tests,
verifications to be done, personnel involved in the remote ICT activities and their
level of competence;
— that it is necessary to guarantee that authorised staff have access to all necessary
data (e.g. drawings, schematics, datasheets, etc.) they require in order to determine
that the item conforms to the applicable design data, and how this can be ensured;
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— how remote ICT will be used in real time (not pre-recorded) so that authorised staff
may direct the performance of the tasks as if it were conducted in-person, on-site,
with the aid of the equipment or the personnel supporting the activity at the remote
location;
— the procedures for conducting a reinspection in case the equipment malfunctions or
the process fails to yield acceptable results; a reinspection using remote ICT may be
accomplished after correcting the malfunction or process, or by an actual on-site
inspection;
— how authorised staff should record and communicate any difficulties or concerns
regarding the process so that the organisation can improve its programme;
— how the use of the remote ICT will be documented in the required records; and
— how the organisation’s IT security is ensured throughout the remote ICT process
(data protection and intellectual property of the organisation also need to be
safeguarded).
AMC-ELA No 1 to 21.A.165(a);(b) Obligations of the holder – Basic
working document
ED Decision 2019/003/R
The organisation should ensure that its personnel have access to, and are familiar with, the parts of
the organisation’s procedures that are applicable to their activities. This may be done, for example, by
providing information to the personnel when updates of the documentation become available, or by
making the changed documentation available at a location where the information is accessible to all
the affected personnel.
Staff members of the production organisation who are involved in the production of products under
the POA should be able to demonstrate their awareness of the information that is provided within the
POE and the company manual. This can be achieved by any suitable means, and it does not necessarily
require training sessions to be provided. Regular internal monitoring should be used to internally
verify that the relevant staff members are aware of the relevant definitions.
The organisation should systematically conduct monitoring for compliance with this documentation.
This monitoring can be via auditing, structured experience exchanges, regular quality meetings,
brainstorming or lessons-learned sessions, project reviews at appropriate phases of the development,
or other similar means.
GM 21.A.165(a) Obligations of the holder – Basic working
document
ED Decision 2012/020/R
Compliance with the production organisation exposition (POE) is a prerequisite for obtaining and
retaining a production organisation approval.
The organisation should make the POE available to its personnel where necessary for the performance
of their duties. A distribution list should therefore be established. Where the POE mainly refers to
separate manuals or procedures, the distribution of the POE could be limited.
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The organisation should ensure that personnel have access to and are familiar with that part of the
content of the POE or the referenced documents, which covers their activities.
Monitoring of compliance with the POE is normally the responsibility of the quality assurance function.
GM-ELA No 1 to 21.A.165(c) Obligations of the holder
ED Decision 2019/003/R
GM No 1 to 21.A.165(c) is applicable.
GM No 2 to 21.A.165(c) is applicable.
GM No 3 to 21.A.165(c) is applicable.
GM No 4 to 21.A.165(c) is applicable.
GM No 1 to 21.A.165(c) Obligations of the holder – Conformity of
prototype models and test specimens
ED Decision 2012/020/R
21.A.33 requires determination of conformity of prototype models and test specimens to the
applicable design data. The EASA Form 1 may be used as a conformity certificate as part of the
assistance a POA holder provides to a design approval holder/applicant.
GM No 2 to 21.A.165(c) Obligations of holder – Conformity with
type design
ED Decision 2012/020/R
Individual configurations are often based on the needs of the customer and improvements or changes
which may be introduced by the type-certificate holder. There are also likely to be unintentional
divergencies (concessions or non-conformances) during the manufacturing process. All these changes
should have been approved by the design approval holder, or when necessary by the Agency.
GM No 3 to 21.A.165(c) Obligations of the holder – Condition for
safe operation
ED Decision 2012/020/R
Before issue of the Statement of Conformity to the competent authority of the Member State of
registry, the holder of a production organisation approval should make an investigation so as to be
satisfied in respect of each of the items listed below. The documented results of this investigation
should be kept on file by the POA holder. Certain of these items may be required to be provided (or
made available) to the operator or owner of the aircraft (and in some cases the competent authority
of the Member State of registry):
1.
Equipment or modifications which do not meet the requirements of the State of manufacture
but have been accepted by the competent authority of the importing country.
2.
Identification of products, parts or appliances which:
a)
are not new;
b)
are furnished by the buyer or future operator (including those identified in 21.A.801 and
21.A.805).
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3.
Technical records which identify the location and serial numbers of components that have
special traceability requirements for continued airworthiness purposes including those
identified in 21.A.801 and 21.A.805.
4.
Log book and a modification record book for the aircraft as required by the Agency.
5.
Log books for products identified in 21.A.801 installed as part of the type design as required by
the Agency.
6.
A weight and balance report for the completed aircraft.
7.
A record of missing items or defects which do not affect airworthiness these for example could
be furnishing or BFE (Items may be recorded in a technical log or other suitable arrangement
such that the operator and Agency are formally aware).
8.
Product support information required by other implementing rules and associated CS or GM,
such as a Maintenance Manual, a Parts Catalogue, or MMEL all of which are to reflect the actual
build standard of the particular aircraft. Also an Electrical load analysis and a wiring diagram.
9.
Records which demonstrate completion of maintenance tasks appropriate to the test flight
flying hours recorded by the aircraft. These records should show the relationship of the
maintenance status of the particular aircraft to the manufacturers recommended maintenance
task list and the MRB document/report.
10.
Details of the serviceability state of the aircraft in respect of a) the fuel and oil contents, b)
provision of operationally required emergency equipment such as life rafts, etc.
11.
Details of the approved interior configuration if different from that approved as part of the type
design.
12.
An approved Flight Manual which conforms to the build standard and modification state of the
particular aircraft shall be available.
13.
Show that inspections for foreign objects at all appropriate stages of manufacture have been
satisfactorily performed.
14.
The registration has been marked on the exterior of the aircraft as required by national
legislation. Where required by national legislation fix a fireproof owners nameplate.
15.
Where applicable there should be a certificate for noise and for the aircraft radio station.
16.
The installed compass and or compass systems have been adjusted and compensated and a
deviation card displayed in the aircraft.
17.
Software criticality list.
18.
A record of rigging and control surface movement measurements.
19.
Details of installations which will be removed before starting commercial air transport
operations (e.g., ferry kits for fuel, radio or navigation).
20.
Where maintenance work has been performed under the privilege of 21.A.163(d) issue a release
to service that includes a statement that the aircraft is in a condition for safe operation.
21.
List of all applicable Service Bulletins and airworthiness directives that have been implemented.
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GM No 4 to 21.A.165(c) Airworthiness Release or Conformity
Certificate
ED Decision 2012/020/R
The EASA Form 1, when used as a release certificate as addressed in 21.A.165(c)(2) and (3), may be
issued in two ways:
— As an airworthiness release, only when by virtue of the arrangement described in 21.A.133(b) and
(c), it can be determined that the part conforms to the approved design data and is in a condition
for safe operation.
— As a conformity certificate, only when by virtue of the arrangement described in 21.A.133(b) and
(c), it can be determined that the part conforms to applicable design data which is not (yet)
approved, for a reason that is indicated in Block 12. Parts released with an EASA Form 1 as a
conformity certificate are not eligible for installation in a type-certificated aircraft.
The EASA Form 1 should only be used for conformity release purposes when it is possible to indicate
the reason that prevents its issue as for airworthiness release purposes.
AMC1 21.A.165(c)(3) Applicable engine exhaust emissions
requirements
ED Decision 2021/011/R
This determination is made according to the data provided by the engine type-certificate holder. It
should be noted that the competent authority has the possibility to grant exemptions from these
requirements as noted in Chapter 2, paragraph 2.1.1 and Chapter 4, paragraph 4.1.1 of Part III of
Volume II of Annex 16 to the Chicago Convention.
When such an exemption is granted, the competent authority:
— takes into account the number of exempted engines that will be produced and their impact on
the environment;
— considers imposing a time limit on the production of such engines; and
— issues an exemption document.
The Agency establishes and maintains a register, containing at least the engine serial number, and
makes it publicly available.
ICAO Doc 9501 ‘Environmental Technical Manual’ Volume II provides guidance on the issuing of
exemptions.
GM1 21.A.165(c)(3) Definitions of engine type certification date and
production date
ED Decision 2021/011/R
Volume II of Annex 16 to the Chicago Convention contains three different references to applicability
dates:
1.
the ‘date of manufacture for the first individual production model’, which refers to the date
when the type certificate is issued for the engine type or model;
2.
the ‘date of application for a type certificate’, which refers to the application date to the
certificating authority of the State of Design of the engine type certification; and
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REQUIREMENTS
the ‘date of manufacture for the individual engine’, which refers to the production date of a
specific engine serial number (date of EASA Form 1).
The third reference refers to the date of the first engine EASA Form 1 issued after the completion of
the engine production pass-off test.
The third reference is used in the application of engine emissions production cut-off requirement
which specifies a date after which all in-production engine models must meet a certain emissions
standard.
21.A.165(c)(3) includes the production requirements for engine exhaust emissions.
ICAO Doc 9501 ‘Environmental Technical Manual’ Volume II provides guidance on these applicability
dates.
AMC1 21.A.165(c)(4) Applicable aeroplane CO2 emissions
requirements
ED Decision 2021/011/R
This determination is made according to the data provided by the aeroplane type-certificate holder.
This data should allow the determination of whether the aeroplane complies with the CO2 emissions
applicability requirements in Chapter 2, paragraph 2.1.1 of Part II of Volume III of Annex 16 to the
Chicago Convention.
It should be noted that the competent authority has the possibility to grant exemptions as noted in
Chapter 1, paragraph 1.11 and Chapter 2, paragraph 2.1.3 of Part II of Volume III of Annex 16 to the
Chicago Convention.
When such an exemption is granted, the competent authority:
— takes into account the number of exempted aeroplanes that will be produced and their impact on
the environment; and
— issues an exemption document.
The Agency establishes and maintains a register, containing at least the aeroplane serial number, and
makes it publicly available.
ICAO Doc 9501 ‘Environmental Technical Manual’ Volume III provides guidance on the issuing of
exemptions.
GM 21.A.165(d) and (h) Obligations of the holder – Recording and
archiving system
ED Decision 2012/020/R
Records within a production environment satisfy two purposes. Firstly, they are required, during the
production process to ensure that products, parts, or appliances are in conformity with the controlling
data throughout the manufacturing cycle. Secondly, certain records of milestone events are needed
to subsequently provide objective evidence that all prescribed stages of the production process have
been satisfactorily completed and that compliance with the applicable design data has been achieved.
Therefore, the approved production organisation should implement a system for the compilation and
retention of records during all stages of manufacture, covering short-term and long-term records
appropriate to the nature of the product and its production processes.
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The management of such information should be subject to appropriate procedures in the Quality
System required by 21.A.139.
All forms of recording media are acceptable (paper, film, magnetic, ...) provided they can meet the
required duration for archiving under the conditions provided.
The related organisation procedures should:
— Identify records to be kept.
— Describe the organisation of and responsibility for the archiving system (location, compilation,
format) and conditions for access to the information (e.g., by product, subject).
— Control access and provide effective protection from deterioration or accidental damage.
— Ensure continued readability of the records.
— Demonstrate to the competent authority proper functioning of the records system.
— Clearly identify the persons involved in conformity determination.
— Define an archiving period for each type of data taking into account importance in relation to
conformity determination subject to the following:
a)
Data which supports conformity of a product, part, or appliance should be kept for not
less than three years from the issue date of the related Statement of Conformity or
Authorised Release Certificate.
b)
Data considered essential for continuing airworthiness should be kept throughout the
operational life of the product, part or appliance.
— Ensure that the recording and record-keeping system used by the partners, supplier and subcontractors meet the objective of conformity of the product, part or appliance with the same level
of confidence as for their own manufacture. They should define in each case who is to retain the
record data (organisation or partner, supplier or sub-contractor). They should also define method
for surveillance of the recording/record keeping system of the partners, suppliers or subcontractors.
AMC-ELA No 1 to 21.A.165(d) Obligations of the holder – Recording
and archiving system
ED Decision 2019/003/R
The POA holder should establish (in coordination with the design holder) which details are to be
recorded to support the production process and to assist the design holder in dealing with continued
airworthiness matters. The level of detail chosen for the production process records can have a
substantial impact on the scope of any corrective actions.
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AMC-ELA No 1 to 21.A.165(e);(f) Obligations of the holder –
Reporting to the design holder
ED Decision 2019/003/R
The production organisation should record and evaluate any occurrences that may affect the safety
of the product. Occurrence reports are collected and assessed in order to identify adverse trends, or
to address deficiencies, and to extract reportable occurrences.
The production organisation should share all of its information that is related to potential product
deficiencies, observed in the field or during or after production and delivery, with the design approval
holder. The production and the design organisations should jointly determine any product design
and / or corrective actions that may be required in the field.
The production organisation should have procedures in their quality system to determine whether a
production-related deficiency results in an ‘unsafe condition’ in accordance with point 21.A.3B. This
may be done by applying the method described in ASTM F2295, as follows:
— any occurrence that is categorised as an ‘urgent safety of flight situation’ in ASTM F2295 is
considered to be an ‘unsafe situation’; and
— any occurrence that falls into the category of a ‘potential safety of flight bulletin’ in ASTM F2295
is considered to have the potential to be an ‘unsafe situation’. Further analysis is required, and
possibly in coordination with the competent authority or with EASA.
Production deficiencies, in which the assessment leads to a potential ‘unsafe situation’, should be
reported to the competent authority, within the terms and in the manner determined by the
competent authority.
If the design and production entities both work within one consolidated team, then it is sufficient for
either the design or the production entity to establish and maintain an internal occurrence reporting
system that is accessible to both entities.
AMC-ELA No 1 to 21.A.165(g) Obligations of the holder –
Continuing airworthiness assistance
ED Decision 2019/003/R
The production organisation should actively communicate with and assist the holder of the type
certificate or the design approval when dealing with any continuing airworthiness actions that are
related to the products, parts or appliances that have been produced. Compliance with this
requirement can be shown by effective coordination regarding the corrective actions.
If the design and production entities both work within one consolidated team, assistance to the type
design holder is expected to be provided as an intrinsic function of the cooperation, and no further
evidence of the assistance needs to be provided.
AMC-ELA No 1 to 21.A.165(d);(h) Obligations of the holder –
Recording and archiving system
ED Decision 2019/003/R
Records of production that have been used to determine conformity with the type design, such as
those records mentioned in relation to point 21.A.165(c) and (d), should be archived and preserved
using an adequate archiving method that should be defined within the company manual. Those
records need to be held at the disposal of the competent authority, and need to be retained in order
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to provide the information necessary to ensure the continuing airworthiness of the products, parts or
appliances.
All forms of recording media are acceptable (paper, database, etc.), provided that the preservation of
the records for the retention period for archiving can be ensured.
The production organisation should:
— define the records to be retained. If the type design defines which data needs to be recorded, the
production organisation is not required to go beyond this data;
— implement a structured method of archiving. If IT-based ERP systems with workflow management
are used, a detailed description of the system is not required;
— ensure that there is effective protection of the records from deterioration or accidental damage,
e.g. by holding hard and soft copies in separate locations;
— ensure the continued readability of the records by selecting an adequate method of archiving;
— define a retention period for each type of data, taking into account that the determination of
conformity is subject to the following:
— data which supports the conformity of a product, part or appliance should be kept for
not less than 3 years from the issue date of the related statement of conformity or
authorised release certificate;
— data considered to be essential for continuing airworthiness should be kept throughout
the operational life of the product, part or appliance.
If the production organisation has decided that the records of any partner, supplier or subcontractor
do not need to be supplied to the production organisation, then the production organisation should
extend its requirements for record keeping to that partner, supplier or subcontractor.
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SUBPART H — CERTIFICATES OF AIRWORTHINESS AND RESTRICTED
CERTIFICATES OF AIRWORTHINESS
21.A.171 Scope
Regulation (EU) No 748/2012
This Subpart establishes the procedure for issuing airworthiness certificates.
21.A.172 Eligibility
Regulation (EU) No 748/2012
Any natural or legal person under whose name an aircraft is registered or will be registered in a
Member State (‘Member State of registry’), or its representative, shall be eligible as an applicant for
an airworthiness certificate for that aircraft under this Subpart.
21.A.173 Classification
Regulation (EU) No 748/2012
Airworthiness certificates shall be classified as follows:
(a)
certificates of airworthiness shall be issued to aircraft which conform to a type-certificate that
has been issued in accordance with this Annex I (Part 21);
(b)
restricted certificates of airworthiness shall be issued to aircraft:
1.
which conform to a restricted type-certificate that has been issued in accordance with
this Annex I (Part 21); or
2.
which have been shown to the Agency to comply with specific airworthiness
specifications ensuring adequate safety.
21.A.174 Application
Regulation (EU) 2021/699
(a)
Pursuant to point 21.A.172, an application for an airworthiness certificate shall be made in a
form and manner established by the competent authority of the Member State of registry.
(b)
Each application for a certificate of airworthiness or restricted certificate of airworthiness shall
include:
1.
the class of airworthiness certificate applied for;
2.
with regard to new aircraft:
(i)
a statement of conformity:
— issued under point 21.A.163(b); or
— issued under point 21.A.130 and validated by the competent authority; or
— for an imported aircraft, a statement signed by the exporting authority that the
aircraft conforms to a design approved by the Agency;
(ii)
a weight and balance report with a loading schedule and;
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(iii)
3.
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SECTION A — TECHNICAL
REQUIREMENTS
the flight manual, when required by the applicable certification specifications for
the particular aircraft.
with regard to used aircraft originating from:
(i)
a Member State, an airworthiness review certificate issued in accordance with
Annex I (Part-M) or Annex Vb (Part-ML) to Commission Regulation (EU)
No 1321/20141;
(ii)
a non-member State:
— a statement by the competent authority of the State where the aircraft is, or
was, registered, reflecting the airworthiness status of the aircraft on its register
at the time of transfer;
— a weight and balance report with a loading schedule;
— the flight manual when such a manual is required by the airworthiness code
for the aircraft;
— historical records to establish the production, modification and maintenance
standard of the aircraft, including all limitations associated with a restricted
certificate of airworthiness issued in accordance with point 21.B.327;
— a recommendation for the issuance of a certificate of airworthiness or
restricted certificate of airworthiness and for an airworthiness review
certificate pursuant to an airworthiness review in accordance with Annex I
(Part-M) to Regulation (EU) No 1321/20142 or an airworthiness review
certificate in accordance with Annex Vb (Part-ML) to Regulation (EU)
No 1321/2014.
— the date on which the first certificate of airworthiness was issued and, if the
standards of Volume III of Annex 16 to the Chicago Convention apply, the CO2
metric value data
(c)
Unless otherwise agreed, the statements referred to in points (b)(2)(i) and (b)(3)(ii) shall be
issued no more than 60 days before presentation of the aircraft to the competent authority of
the Member State of registry.
21.A.175 Language
Regulation (EU) No 748/2012
The manuals, placards, listings, and instrument markings and other necessary information required by
applicable certification specifications shall be presented in one or more of the official language(s) of
the European Union acceptable to the competent authority of the Member State of registry.
1
Commission Regulation (EU) No 1321/2014 of 26 November 2014 on the continuing airworthiness of aircraft and aeronautical products,
parts and appliances, and on the approval of organisations and personnel involved in these tasks (OJ L 362, 17.12.2014, p. 1).
2
Commission Regulation (EU) No 1321/2014 of 26 November 2014 on the continuing airworthiness of aircraft and aeronautical products,
parts and appliances, and on the approval of organisations and personnel involved in these tasks (OJ L 362, 17.12.2014, p. 1).
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21.A.177 Amendment or modification
Regulation (EU) No 748/2012
An airworthiness certificate may be amended or modified only by the competent authority of the
Member State of registry.
21.A.179 Transferability and re-issuance within Member States
Regulation (EU) 2020/570
(a)
(b)
Where ownership of an aircraft has changed:
1.
if it remains on the same register, the certificate of airworthiness, or the restricted
certificate of airworthiness conforming to a restricted type-certificate only, shall be
transferred together with the aircraft;
2.
if the aircraft is registered in another Member State, the certificate of airworthiness, or
the restricted certificate of airworthiness conforming to a restricted type-certificate only,
shall be issued:
(i)
upon presentation of the former certificate of airworthiness and of a valid
airworthiness review certificate issued in accordance with Annex I (Part-M) or
Annex Vb (Part-ML) of Regulation (EU) No 1321/2014;
(ii)
when satisfying point 21.A.175.
Where ownership of an aircraft has changed, and the aircraft has a restricted certificate of
airworthiness not conforming to a restricted type-certificate, the airworthiness certificates shall
be transferred together with the aircraft provided the aircraft remains on the same register, or
issued only with the formal agreement of the competent authority of the Member State of
registry to which it is transferred.
21.A.180 Inspections
Regulation (EU) No 748/2012
The holder of the airworthiness certificate shall provide access to the aircraft for which that
airworthiness certificate has been issued upon request by the competent authority of the Member
State of registry.
[applicable until 6 March 2023 – Regulation (EU) 2022/201]
21.A.181 Duration and continued validity
Regulation (EU) 2021/699
(a)
An airworthiness certificate shall be issued for an unlimited duration. It shall remain valid
subject to:
1.
compliance with the applicable type-design and continued airworthiness requirements;
and
[points (a) and (a)(1) applicable until 6 March 2023]
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REQUIREMENTS
An airworthiness certificate shall be issued for an unlimited period of time. It shall remain valid
subject to compliance with all the following conditions:
1.
the aircraft continues to comply with the applicable type design and continued
airworthiness requirements; and
[points (a) and (a)(1) applicable from 7 March 2023 - Regulation (EU) 2022/201]
2.
the aircraft remaining on the same register; and
3.
the type-certificate or restricted type-certificate under which it is issued not being
previously invalidated under point 21.A.51;
4.
the certificate not being surrendered or revoked under point 21.B.330.
[applicable until 6 March 2023]
4.
the certificate has not been revoked by the competent authority under point 21.B.65, or
surrendered by the certificate holder.
[applicable from 7 March 2023 - Regulation (EU) 2022/201]
(b)
Upon surrender or revocation, the certificate shall be returned to the competent authority of
the Member State of registry.
21.A.182 Aircraft identification
Regulation (EU) No 748/2012
Each applicant for an airworthiness certificate under this Subpart shall demonstrate that its aircraft is
identified in accordance with Subpart Q.
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SECTION A — TECHNICAL
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SUBPART I — NOISE CERTIFICATES
21.A.201 Scope
Regulation (EU) No 748/2012
This Subpart establishes the procedure for issuing noise certificates.
21.A.203 Eligibility
Regulation (EU) No 748/2012
Any natural or legal person under whose name an aircraft is registered or will be registered in a
Member State (Member State of registry), or its representative, shall be eligible as an applicant for a
noise certificate for that aircraft under this Subpart.
21.A.204 Application
Regulation (EU) No 748/2012
(a)
Pursuant to point 21.A.203, an application for a noise certificate shall be made in a form and
manner established by the competent authority of the Member State of registry.
(b)
Each application shall include:
1.
with regard to new aircraft:
(i)
a statement of conformity:
— issued under point 21.A.163(b); or
— issued under point 21.A.130 and validated by the competent authority; or
—
(ii)
2.
(c)
for an imported aircraft, a statement, signed by the exporting authority that
the aircraft conforms to a design approved by the Agency; and
the noise information determined in accordance with the applicable noise
requirements;
with regard to used aircraft:
(i)
the noise information determined in accordance with the applicable noise
requirements; and
(ii)
historical records to establish the production, modification, and maintenance
standard of the aircraft.
Unless otherwise agreed, the statements referred to in point (b)(1) shall be issued no more than
60 days before presentation of the aircraft to the competent authority of the Member State of
registry.
21.A.207 Amendment or modification
Regulation (EU) No 748/2012
A noise certificate may be amended or modified only by the competent authority of the Member State
of registry.
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21.A.209 Transferability and re-issuance within Member States
Regulation (EU) No 748/2012
Where ownership of an aircraft has changed:
(a)
if the aircraft remains on the same register, the noise certificate shall be transferred together
with the aircraft; or
(b)
if the aircraft moves to the register of another Member State, the noise certificate shall be
issued upon presentation of the former noise certificate.
21.A.210 Inspections
Regulation (EU) No 748/2012
The holder of the noise certificate shall provide access to the aircraft for which that noise certificate
has been issued upon request by the competent authority of the Member State of registry or by the
Agency for inspection.
[applicable until 6 March 2023 – Regulation (EU) 2022/201]
21.A.211 Duration and continued validity
Regulation (EU) 2021/699
(a)
A noise certificate shall be issued for an unlimited duration. It shall remain valid subject to:
1.
compliance with the applicable type-design, environmental protection and continued
airworthiness requirements; and
[points (a) and (a)(1) applicable until 6 March 2023]
(a)
A noise certificate shall be issued for an unlimited period of time. It shall remain valid subject
to compliance with all the following conditions:
1.
the aircraft continues to comply with the applicable type design and continued
airworthiness requirements; and
[points (a) and (a)(1) applicable from 7 March 2023 - Regulation (EU) 2022/201]
2.
the aircraft remaining on the same register; and
3.
the type-certificate or restricted type-certificate under which it is issued not being
previously invalidated under point 21.A.51;
4.
the certificate not being surrendered or revoked under point 21.B.430.
[applicable until 6 March 2023]
(4)
the certificate has not been revoked by the competent authority under point 21.B.65, or
surrendered by the certificate holder.
[applicable from 7 March 2023 - Regulation (EU) 2022/201]
(b)
Upon surrender or revocation, the certificate shall be returned to the competent authority of
the Member State of registry.
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SUBPART J — DESIGN ORGANISATION APPROVAL
21.A.231 Scope
Regulation (EU) 2019/897
This Subpart establishes the procedure for the approval of design organisations and rules governing
the rights and obligations of applicants for, and holders of, such approvals. In this Subpart, the
references to type-certificates include type-certificates and restricted type-certificates.
AMC-ELA No 1 to 21.A.231 Scope
ED Decision 2019/003/R
The AMC-ELA in this Subpart provides acceptable means of compliance for a design organisation
approval for organisations that design:
— aeroplanes that are within the scope of CS-LSA, CS-VLA and CS-23 level 1;
— sailplanes or powered sailplanes that are within the scope of CS-22; or
— balloons, hot-air airships and gas airships that are ELA2 aircraft,
that are not classified as complex motor-powered aircraft, as well as products or articles that are used
on these types of aircraft.
GM-ELA No 1 to 21.A.231 Scope
ED Decision 2019/003/R
The AMC indicated with ‘AMC-ELA’ and the GM related to them (as indicated with ‘GM-ELA’) provide
an alternative set of AMC and GM to the other available AMC and GM.
The AMC-ELA provide acceptable means to meet the requirements of Subpart J for small, non-complex
organisations that make designs for aircraft as specified in AMC-ELA No 1 to 21.A.231.
If the AMC-ELA are not applicable (for instance, for small, non-complex organisations that make
designs for other low-risk products outside the scope of AMC-ELA No 1 to 21.A.231, e.g. light
rotorcraft, CS 23 Level 2, etc.), the applicant is not obliged to use any other available AMC. Switching
to those other available AMC will not necessarily provide a means of compliance that is proportionate.
Since AMC are a means, but not the only means of showing compliance, applicants and approval
holders can also propose alternative means of compliance. These alternative means may use the AMC
ELA as a baseline, and complement them with additional or more stringent controls, processes or
methods. This allows a gradual increase in the level of detail of the established procedures and the
thoroughness of the implemented tools for DOA approval. This enables the introduction of a
proportionate approach that is commensurate with the kind of product and its associated risk as a
function of the complexity of the organisation and the risk and performance of the product. The use
of AMC-ELA as a baseline for DOA outside the applicability of that AMC-ELA is therefore considered to
be an appropriate starting point.
Complementing elements need to be detailed, documented and recorded to a level where the
occurrence of any repetitive non-conformities is mitigated. Applicants and approval holders need to
demonstrate to the competent authority in such cases that those additional means meet the
requirements that are appropriate for the complexity of these designs.
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GM-ELA No 2 to 21.A.231 Scope – AMC-ELA as a complete, selfcontained set of AMC
ED Decision 2019/003/R
The AMC-ELA provide an alternative, complete and self-contained set of AMC. Small, non-complex
organisations that design products or articles within the scope of AMC-ELA can use AMC-ELA instead
of the existing AMC to Subpart J.
The AMC-ELA in full determine the acceptable means of compliance with Subpart J. The applicant
should implement each of the means defined here on an individual basis. If the specific characteristics
of the organisation render individual elements of the AMC-ELA impracticable or not applicable,
alternative means with specific resolutions should be agreed with the competent authority.
A justification needs to be developed that shows that the means applied meet the requirements of
Part-21. A trustful relationship between the typically very compact team of the applicant and the
competent authority should be developed. The applicant is strongly encouraged to ask the relevant
contact person at the competent authority for mutual clarification of any questionable item, if there
is any doubt.
GM-ELA No 3 to 21.A.231 Scope – Explanation of terms used in
AMC-ELA
ED Decision 2019/003/R
‘A method needs to be practised’
When the AMC-ELA uses the term ‘a method needs to be practised’, it means that the applicant can
show what is actually done in order to comply with a requirement in a practical and systematic way.
The applicant is not expected to have an excessively detailed documented procedure. As a baseline,
documented procedures for such ‘practised methods’ can be limited to a ‘declaration’ of the principles
that are considered within the practised method that refers to the system used. For example, a
declaration such as ‘Document control is ensured by workflow management as part of the IT-based
Document Management System (DMS)’ may be provided. This is acceptable when evidence is
provided by work results, by demonstration of actual behaviour during surveillance activities, or by
similar means. When the actual behaviour continuously shows that it does not satisfy the needs of the
requirements, a more detailed documented procedure may need to be implemented to rectify the
situation.
Delegation of tasks and responsibilities
AMC-ELA differentiates between the delegation of tasks, and the delegation of responsibilities. For
small and simple organisations, the delegation of responsibilities to specific and separate
organisational positions can create overly burdensome administrative processes that do not reflect
the operational reality.
The AMC-ELA accepts that tasks can be delegated, while the responsibility formally stays with the
delegator. This can increase efficiency, and it offers the possibility to simplify procedures. A typical
example is when the head of the design organisation (HDO) delegates tasks, while keeping the
responsibility associated with this task.
If this situation is identified with respect to the individual requirements, this may significantly reduce
the effort required for documentation, and it allows streamlined methods to be practised.
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21.A.233 Eligibility
Regulation (EU) No 748/2012
Any natural or legal person (‘organisation’) shall be eligible as an applicant for an approval under this
Subpart
(a)
in accordance with points 21.A.14, 21.A.112B, 21.A.432B or 21.A.602B; or
(b)
for approval of minor changes or minor repair design, when requested for the purpose of
obtaining privileges under point 21.A.263.
21.A.234 Application
Regulation (EU) No 748/2012
Each application for a design organisation approval shall be made in a form and manner established
by the Agency and shall include an outline of the information required by point 21.A.243, and the
terms of approval requested to be issued under point 21.A.251.
AMC-ELA No 1 to 21.A.234 Application
ED Decision 2019/003/R
EASA Form 80 should be obtained from the EASA website and completed by the head of the design
organisation (HDO). The completed form should be submitted to EASA, accompanied by a copy of the
company’s registration.
21.A.235 Issue of design organisation approval
Regulation (EU) No 748/2012
An organisation shall be entitled to have a design organisation approval issued by the Agency when it
has demonstrated compliance with the applicable requirements under this Subpart.
21.A.239 Design assurance system [applicable until 6 March 2023] /
21.A.139 Design management system [applicable from 7 March
2023 - Regulation (EU) 2022/201]
Regulation (EU) No 69/2014
(a)
The design organisation shall demonstrate that it has established and is able to maintain a
design assurance system for the control and supervision of the design, and of design changes,
of products, parts and appliances covered by the application. This design assurance system shall
be such as to enable the organisation:
1.
to ensure that the design of the products, parts and appliances or the design change
thereof, comply with the applicable type-certification basis, the applicable operational
suitability data certification basis and environmental protection requirements; and
2.
to ensure that its responsibilities are properly discharged in accordance with:
3.
(i)
the appropriate provisions of this Annex I (Part 21); and
(ii)
the terms of approval issued under point 21.A.251;
to independently monitor the compliance with, and adequacy of, the documented
procedures of the system. This monitoring shall include a feed-back system to a person
or a group of persons having the responsibility to ensure corrective actions.
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(b)
The design assurance system shall include an independent checking function of the showings of
compliance on the basis of which the organisation submits compliance statements and
associated documentation to the Agency.
(c)
The design organisation shall specify the manner in which the design assurance system accounts
for the acceptability of the parts or appliances designed or the tasks performed by partners or
subcontractors according to methods which are the subject of written procedures.
[applicable until 6 March 2023]
(a)
The design organisation shall establish, implement and maintain a design management system
that includes a safety management element and a design assurance element with clearly
defined accountability and lines of responsibility throughout the organisation.
(b)
The design management system shall:
(c)
1.
correspond to the size of the organisation and to the nature and complexity of its
activities, taking into account the hazards and associated risks inherent in those activities;
2.
be established, implemented and maintained under the accountability of a single
manager appointed pursuant to point 21.A.245(a).
As part of the safety management element of the design management system, the design
organisation shall:
1.
establish, implement and maintain a safety policy and the corresponding related safety
objectives;
2.
appoint key safety personnel in accordance with point 21.A.245(b);
3.
establish, implement and maintain a safety risk management process that includes the
identification of aviation safety hazards entailed by its activities, their evaluation and the
management of the associated risks, including taking actions to mitigate the risks and
verify their effectiveness;
4.
establish, implement and maintain a safety assurance process that includes:
5.
6.
(d)
(i)
the measurement and monitoring of the organisation’s safety performance;
(ii)
the management of changes in accordance with points 21.A.243(c) and 21.A.247;
(iii)
the principles for the continuous improvement of the safety management element;
promote safety in the organisation through:
(i)
training and education;
(ii)
communication;
establish an occurrence reporting system in accordance with point 21.A.3A in order to
contribute to continuous improvement of safety.
As part of the design assurance element of the design management system, the design
organisation shall:
1.
establish, implement and maintain a system for the control and supervision of the design,
and of design changes and repairs, of products, parts and appliances covered by the terms
of approval; that system shall:
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(i)
include an airworthiness function responsible for ensuring that the design of
products, parts and appliances, or the design changes and repairs, comply with the
applicable type-certification basis, the applicable operational suitability data
certification basis and the environmental protection requirements;
(ii)
ensure that the design organisation properly discharges its responsibilities in
accordance with this Annex and with the terms of approval issued under
point 21.A.251;
2.
establish, implement and maintain an independent verification function on the basis of
which the design organisation demonstrates compliance with the applicable
airworthiness, operational suitability data and environmental protection requirements;
3.
specify the manner in which the design management system accounts for the
acceptability of the parts or appliances that are designed or the tasks that are performed
by its partners or subcontractors according to the methods which are the subject of
written procedures.
(e)
The design organisation shall establish, as part of the design management system, an
independent monitoring function to verify compliance of the organisation with the relevant
requirements of this Annex as well as the compliance with and adequacy of the design
management system. Monitoring shall include feedback to the person or the group of persons
referred to in point 21.A.245(b) and to the manager referred to in point 21.A.245(a) to ensure,
where necessary, the implementation of corrective action.
(f)
If the design organisation holds one or more additional organisation certificates within the
scope of Regulation (EU) 2018/1139, the design management system may be integrated with
that required under the additional certificate(s).
[applicable from 7 March 2023 - Regulation (EU) 2022/201]
AMC-ELA No 1 to 21.A.239(a) Design assurance system – Definition
ED Decision 2019/003/R
The term ‘design assurance system (DAS)’, in the context of the AMC-ELA to Subpart J, refers to those
elements of product development and certification that ensure the control and supervision of the
initial design, of changes or repairs to the design, and its continued airworthiness with respect to the
applicable type certification basis, the operational suitability data certification basis and the
environmental protection requirements. Therefore, elements to be considered as part of the DAS are:
— the generation, iteration, EASA acceptance and maintenance of the certification programme;
— the demonstration of compliance and its verification within the design organisation;
— the declaration of compliance provided by the design organisation to EASA;
— monitoring functions to ensure the continued airworthiness of the certified product, including the
resulting activities;
— independent system monitoring of the compliance with, and the adequacy of, the documented
procedures of this system.
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A typical development process will include a number of additional activities, such as preliminary
design, project management elements (a PDR, CDR, etc.), or development activities (test platforms,
demonstrators, feasibility studies), etc., that are not part of the DAS, even when elements of the DAS
form specific milestones in the development path. In the context of this Subpart, those other activities
are consequently excluded from the assessment of the DAS, even when elements of the DAS are also
applied to those activities.
AMC-ELA No 2 to 21.A.239(a) Design assurance system – Ensuring
compliance
ED Decision 2019/018/R
An acceptable design assurance system (DAS) contains the elements of the DAS that are described in
AMC-ELA No 1 to 21.A.239(a), and which are further broken down below into the following activities:
— The generation, iteration, EASA acceptance and maintenance of the certification programme:
— ensure that adequate product, change or repair specifications have been generated and
are available to support a meaningful certification programme;
— generate a certification programme that is tailored to the product, or change, or repair
specified, and that identifies:
— the product and the kinds of operations envisaged, or the changes to them;
— the proposed certification basis;
— a description of how compliance will be demonstrated, with the proposed means of
compliance and any selected guidance material, if this is not clearly visible from the
compliance/means of compliance (MOC) checklist;
— a compliance checklist, together with the means of compliance that is intended to be
used, and any guidance material;
— the relevant CVE to be used on the project;
— the programme milestones for interaction with EASA;
— iteration of the certification programme, until EASA acceptance is reached;
— monitoring of the workflow in line with the certification programme:
— updating the certification programme and seeking a new acceptance by EASA, if
necessary;
— ensuring that the relevant staff members adhere to the certification programme
when they conduct certification activities;
— structured methods for the classification of changes, repairs or deviations by using an
adequate process flow, or by following adequate decision forms (matrices) if there are
major changes that directly support the change-related certification programme.
— Demonstration of compliance and its verification within the design organisation:
— ensure that a complete set of data has been developed in order to form a complete and
concise definition of the type design;
— ensure that the selected method for defining the type design allows for adequate
configuration management, for the purposes of design and design variant
management, and for the later management of production;
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— ensure that the handling of changes within the type investigation process and post-TC/STC is controlled, coordinated and repeatable;
— ensure that analyses and tests have been conducted by using methods that are
adequate to support the means of compliance that was defined, and that they are
documented to allow their use for showing compliance;
— ensure that the formal demonstration of compliance for the intended type design,
change design or repair design, including the generation of compliance statements with
respect to any relevant certification requirement, is provided;
— conduct the formal verification of compliance for the intended type design, change
design or repair design, including the verification of compliance statements with
respect to any relevant certification requirement by an independent person nominated
within the design organisation (i.e. a compliance verification engineer (CVE));
— ensure that the applicable product-relevant documentation, such as the AFM, ICA or
MMEL, is established and provided;
— ensure that prototypes or test specimens, produced by a connected production
organisation, or by any prototyping facilities of the design organisation itself, are used
on the basis of an adequate configuration verification against the design definitions
specified for the relevant test;
— ensure that coordinated flight test activities with adequate risk mitigations are
performed.
— Monitoring functions to ensure the continued airworthiness of the certified product:
— conduct monitoring of any significant events;
— ensure that all reported occurrences and events are investigated and classified;
— ensure that there is occurrence reporting for events that are classified as ‘safety-critical’
and that constitute unsafe or potentially unsafe conditions;
— ensure that information and instructions are generated and published, as applicable,
and that information or instructions and any related design activity are verified by
following the same principles as for any type design, change design or repair design
activity/documentation.
— Declaration of compliance by the design organisation to EASA:
— verification of the completeness of the compliance verification and type design
documentation as defined within the certification programme by the head of
airworthiness (HoA);
— issuing of the declaration of compliance by the head of the design organisation (HDO)
to EASA, subsequent to the satisfactory completion of the verification of compliance
against all the applicable certification requirements.
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AMC-ELA No 3 to 21.A.239(a) Design assurance system – Discharge
of responsibilities
ED Decision 2019/018/R
As part of the design assurance system (DAS), at least the following responsibilities have to be
allocated:
— Head of the design organisation (HDO):
— control of budget and staffing to ensure the completion of the development and
certification tasks of the design organisation approval (DOA) within reasonable time
frames and workload. The HDO is ultimately responsible for providing the necessary
resources for the proper functioning of the design organisation;
— issuing the declaration of compliance (see points 21.A.15(b), 21.A.15(c), 21.A.20(c) and
21.A.20(d)) with the applicable type-certification basis, the applicable operational
suitability data certification basis and the environmental protection requirements after
verifying the satisfactory completion of the type investigation;
— ensuring that adequate and timely information is provided to EASA in matters that
affect the DOA.
— Compliance verification engineer (CVE):
— conducting the verification that compliance has been demonstrated with the applicable
type certification basis, the applicable operational suitability data certification basis and
the environmental protection requirements and its technical content within its subject
matter of nomination. Verification of a compliance demonstration implicitly includes
the approval of all the referenced and supporting documents. The applicant may elect
to separately document the approval of the individual supporting documents, e.g. by
having a cover sheet with the supporting documents in the attachment.
— Head of airworthiness (HoA):
— ensuring the verification of compliance with the applicable type-certification basis, the
applicable operational suitability data certification basis and the environmental
protection requirements by adequately qualified staff and that the activities that are
necessary to demonstrate compliance are complete;
— ensuring that a design organisation handbook (DOH) is prepared and updated as
required;
— ensuring that there is adequate and timely interaction with the authorities and
internally on all relevant matters with respect to type certification, changes to type
certificates, the approval of repairs and the approval of the design organisation. This
includes the coordination that the required documentation (type design documents,
compliance documentation and service documents including manuals/ICA and the
MMEL, if applicable) is adequately established;
— ensuring that the continued airworthiness activities are properly performed;
— accepting the certification programme and the approval of the classification of
changes/repairs, minor changes/repairs, major repairs, and flight conditions and the
issue of PtFs under the relevant privileges;
— providing verification to the HDO that all the activities required for the type
investigation have been properly completed.
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— Independent system monitoring (ISM):
— monitoring that the implemented DAS is adequate, and that it is complied with, by using
structured experience exchanges, regular quality meetings, brainstorming or lessonslearned sessions, project reviews at appropriate phases of the development, planned
and unplanned audits, or other similar means;
— conducting independent ISM activities and directly reporting any observations to the
HDO.
AMC-ELA No 4 to 21.A.239(a) Design assurance system –
Independent system monitoring
ED Decision 2019/003/R
Monitoring that the implemented design assurance system (DAS) is adequate, and that it is complied
with, is done by systematic means. The systematic means of monitoring may include structured
experience exchanges, regular design meetings, brainstorming or lessons-learned sessions, project
reviews at appropriate phases of the development, or by other similar means.
Audits may be one element of monitoring. When implemented, audits should be conducted as
combined process/product (project) audits that focus on the implemented key processes or methods
practised according to the DOH (or the equivalent document), and the audits should also allow the
design organisation to find ways to become more efficient by continuous improvement.
Systematic means of monitoring are coordinated by the ISM, under the responsibility of the HDO, and
with a direct reporting line to the HDO. If the ISM is not independent of the activity that is monitored,
especially if the HDO also fulfills the role of the head of ISM, the HDO may involve auditors that have
adequate knowledge of the applicable requirements and of the implemented DAS. The system
monitoring function may be undertaken by the existing quality assurance organisation, provided that
it has adequate reporting lines to the HDO.
GM1 21.A.139, 21.A.157, 21.A.239, 21.A.257, 21.B.120, 21.B.140,
21.B.220, 21.B.235 and 21.B.240 The use of information and
communication technologies (ICT) for performing remote audits
ED Decision 2021/007/R
This GM provides technical guidance on the use of remote information and communication
technologies (ICT) to support:
— competent authorities when overseeing regulated organisations;
— regulated organisations when conducting internal audits / monitoring compliance of their
organisation with the relevant requirements, and when evaluating vendors, suppliers and
subcontractors.
In the context of this GM:
— ‘remote audit’ means an audit that is performed with the use of any real-time video and audio
communication tools in lieu of the physical presence of the auditor on-site; the specificities of
each type of approval / letter of agreement (LoA) need to be considered in addition to the general
overview (described below) when applying the ‘remote audit’ concept;
— ‘auditing entity’ means the competent authority or organisation that performs the remote audit;
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— ‘auditee’ means the entity being audited/inspected (or the entity audited/inspected by the
auditing entity via a remote audit);
It is the responsibility of the auditing entity to assess whether the use of remote ICT constitutes a
suitable alternative to the physical presence of an auditor on-site in accordance with the applicable
requirements.
The conduct of a remote audit
The auditing entity that decides to conduct a remote audit should describe the remote audit process
in its documented procedures and should consider at least the following elements:
— The methodology for the use of remote ICT is sufficiently flexible and non-prescriptive in nature
to optimise the conventional audit process.
— Adequate controls are defined and are in place to avoid abuses that could compromise the
integrity of the audit process.
— Measures to ensure that the security and confidentiality are maintained throughout the audit
activities (data protection and intellectual property of the organisation also need to be
safeguarded).
Examples of the use of remote ICT during audits may include but are not limited to:
— meetings by means of teleconference facilities, including audio, video and data sharing;
— assessment of documents and records by means of remote access, in real time;
— recording, in real time during the process, of evidence to document the results of the audit,
including non-conformities, by means of exchange of emails or documents, instant pictures, video
or/and audio recordings;
— visual (livestream video) and audio access to facilities, stores, equipment, tools, processes,
operations, etc.
An agreement between the auditing entity and the auditee should be established when planning a
remote audit, which should include the following:
— determining the platform for hosting the audit;
— granting security and/or profile access to the auditor(s);
— testing platform compatibility between the auditing entity and the auditee prior to the audit;
— considering the use of webcams, cameras, drones, etc., when the physical evaluation of an event
(product, part, process, etc.) is desired or is necessary;
— establishing an audit plan which will identify how remote ICT will be used and the extent of their
use for the audit purposes to optimise their effectiveness and efficiency while maintaining the
integrity of the audit process;
— if necessary, time zone acknowledgement and management to coordinate reasonable and
mutually agreeable convening times;
— a documented statement of the auditee that they shall ensure full cooperation and provision of
the actual and valid data as requested, including ensuring any supplier or subcontractor
cooperation, if needed; and
— data protection aspects.
The following equipment and set-up elements should be considered:
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— the suitability of video resolution, fidelity, and field of view for the verification being conducted;
— the need for multiple cameras, imaging systems, or microphones, and whether the person that
performs the verification can switch between them, or direct them to be switched and has the
possibility to stop the process, ask a question, move the equipment, etc.;
— the controllability of viewing direction, zoom, and lighting;
— the appropriateness of audio fidelity for the evaluation being conducted; and
— real-time and uninterrupted communication between the person(s) participating to the remote
audit from both locations (on-site and remotely).
When using remote ICT, the auditing entity and the other persons involved (e.g. drone pilots, technical
experts) should have the competence and ability to understand and utilise the remote ICT tools
employed to achieve the desired results of the audit(s)/assessment(s). The auditing entity should also
be aware of the risks and opportunities of the remote ICT used and the impacts they may have on the
validity and objectivity of the information gathered.
Audit reports and related records should indicate the extent to which remote ICT have been used in
conducting remote audits and the effectiveness of remote ICT in achieving the audit objectives,
including any item that it has not been able to be completely reviewed.
GM1 21.A.239(a) Design assurance system
ED Decision 2021/007/R
1.
Purpose
This GM outlines some basic principles and objectives of 21.A.239(a).
2.
Definitions
2.1
The design assurance system is the organisational structure, responsibilities, procedures
and resources to ensure the proper functioning of the design organisation.
2.2
The design assurance means all those planned and systematic actions necessary to
provide adequate confidence that the organisation has the capability
—
to design products or parts in accordance with the applicable CS and
environmental protection requirements,
—
to demonstrate and verify the compliance with these CS and environmental
protection requirements, and
—
2.3
3.
to demonstrate to the Agency this compliance.
The ‘Type Investigation’ means the tasks of the organisation in support of the typecertificate, supplemental type-certificate or other design approval processes necessary
to demonstrate and verify and to maintain compliance with the applicable CS and
environmental protection requirements.
Design Assurance
The complete process, starting with the CS and environmental protection requirements and
product specifications and culminating with the issuing of a type-certificate, is shown in the
diagram on Figure 1. This identifies the relationship between the design, the Type Investigation
and design assurance processes.
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Effective design assurance demands a continuing evaluation of factors that affect the adequacy
of the design for intended applications, in particular that the product, or part, complies with
applicable CS and environmental protection requirements and will continue to comply after any
change.
Two main aspects should therefore be considered:
— How the planned and systematic actions are defined and implemented, from the very
beginning of design activities up to continued airworthiness activities;
— How these actions are regularly evaluated and corrective actions implemented as
necessary.
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Figure 1 - RELATIONSHIPS BETWEEN DESIGN, DESIGN ASSURANCE AND TYPE INVESTIGATION
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Planned and Systematic Actions
For design organisations carrying out Type Investigation of products, the planned and
systematic actions should cover the following tasks and procedures should be defined
accordingly:
3.1.1 General
a.
To issue or, where applicable, supplement or amend the handbook in
accordance with 21.A.243, in particular to indicate the initiation of design
activities on a product.
b.
To assure that all instructions of the Handbook are adhered to.
c.
To conduct Type Investigation.
d.
To nominate staff as ‘compliance verification engineers’ responsible to
approve compliance documents as defined in paragraph 3.1.3.
e.
To nominate personnel belonging to the Office of Airworthiness responsible
as defined in paragraph 3.1.4.
f.
In the case of an applicant for a supplemental type-certificate, to obtain the
agreement of the type-certificate holder for the proposed supplemental
type-certificate to the extent defined in 21.A.115.
g.
To ensure full and complete liaison between the type design organisation
and related organisations having responsibility for products manufactured
to the type-certificate.
h.
To provide the assurance to the Agency that prototype models and test
specimens adequately conform to the type design (see 21.A.33(b)(1)).
3.1.2 Chief Executive and Head of design organisation (or his or her Deputy)
a.
The Chief Executive should provide the necessary resources for the proper
functioning of the design organisation.
b.
The Head of the design organisation, or an authorised representative, should
sign a declaration of compliance (see 21.A.20(d) and 21.A.97(a)(3)) with the
applicable CS and environmental protection requirements after verification
of satisfactory completion of the Type Investigation. In accordance with
21.A.20(e) and 21.A.97(a)(4), his or her signature on the declaration of
compliance confirms that the procedures as specified in the handbook have
been followed (see also GM 21.A.265(b)).
c.
The functions of Chief Executive and Head of the design organisation may be
performed by the same person.
3.1.3 Compliance Verification
a.
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Approval by signing of all compliance documents, including test programmes
and data, necessary for the verification of compliance with the applicable CS
and environmental protection requirements as defined in the certification
programme.
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Approval of the technical content (completeness, technical accuracy...),
including any subsequent revisions, of the manuals approved by the Agency
(Aircraft Flight Manual, the Airworthiness Limitations section of the
Instructions for Continued Airworthiness and the Certification Maintenance
Requirements (CMR) document, where applicable).
3.1.4 Office of Airworthiness
a.
Liaison between the design organisation and the Agency with respect to all
aspects of the certification programme.
b.
Ensuring that a handbook is prepared and updated as required in 21.A.243.
c.
Co-operation with the Agency in developing procedures to be used for the
type certification process.
d.
Issuing of guidelines for documenting compliance.
e.
Co-operation in issuing guidelines for the preparation of the manuals
required by the applicable implementing rules, Service Bulletins, drawings,
specifications, and standards.
f.
Ensuring procurement and distribution of applicable CS and environmental
protection requirements and other specifications.
g.
Co-operating with the Agency in proposing the type-certification basis
h.
Interpretation of CS and environmental protection requirements and
requesting decisions of the Agency in case of doubt.
i.
Advising of all departments of the design organisation in all questions
regarding airworthiness, operational suitability, environmental protection
approvals and certification.
j.
Preparation of the certification programme and co-ordination of all tasks
related to Type Investigation in concurrence with the Agency.
k.
Regular reporting to the Agency about Type Investigation progress and
announcement of scheduled tests in due time.
l.
Ensuring co-operation in preparing inspection and test programmes needed
for demonstration of compliance.
m.
Establishing the compliance checklist and updating for changes.
n.
Checking that all compliance documents are prepared as necessary to
demonstrate compliance with all CS and environmental protection
requirements, as well as for completeness, and signing for release of the
documents.
o.
Checking the required type design definition documents described in
21.A.31 and ensuring that they are provided to the Agency for approval
when required.
p.
Preparation, if necessary, of a draft for a type-certificate data sheet and/or
type-certificate data sheet modification.
q.
Providing verification to the head of the design organisation that all activities
required for Type Investigation have been properly completed.
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r.
Approving the classification of changes in accordance with 21.A.91 and
granting the approval for minor changes in accordance with 21.A.95(b).
s.
Monitoring of significant events on other aeronautical products as far as
relevant to determine their effect on airworthiness or operational suitability
of products being designed by the design organisation.
t.
Ensuring co-operation in preparing Service Bulletins and the Structural
Repair Manual, and subsequent revisions, with special attention being given
to the manner in which the contents affect airworthiness and environmental
protection and granting the approval on behalf of the Agency.
u.
Ensuring the initiation of activities as a response to a failure
(accident/incident/in-service occurrence) evaluation and complaints from
the operation and providing of information to the Agency in case of
airworthiness or operational suitability impairment (continuing
airworthiness and continued operational suitability).
v.
Advising the Agency with regard to the issue of airworthiness directives in
general based on Service Bulletins.
w.
Ensuring that the manuals approved by the Agency, including any
subsequent revisions (the Aircraft Flight Manual, MMEL, the Airworthiness
Limitations section of the Instructions for Continued Airworthiness and the
Certification Maintenance Requirements (CMR) document, where
applicable) are checked to determine that they meet the respective
requirements, and that they are provided to the Agency for approval.
3.1.5 Maintenance and Operating Instructions
(a)
Ensuring the preparation and update of all maintenance and
operating/installation instructions (including instructions for continued
airworthiness and service bulletins) needed to maintain airworthiness
(continuing airworthiness) in accordance with the relevant CSs. For that
purpose, the applicant should:
— establish the list of all documents it produces to comply with CS 2X.1581
and with the Appendix referred to in CS 2X.1529, CS-E 20/25 or CS-P
30/40;
— establish a system to collect in-service experience to be used for the
improvement of the instructions;
— define its procedures and the organisation to produce and issue these
documents, under the obligation of point 21.A.265(h); the procedures
should cover:
— preparation, including the format and language (available
industrial standards can be referred to and used);
— proofreading (checking for clarity, readability, typos, etc.);
— verification of technical consistency with the corresponding
approved change(s), repair(s) or approved data, including the
effectivity, description, effects on airworthiness and
environmental protection, especially when limitations are
changed;
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— verification of feasibility in practical applications when relevant
and feasible; and
— responsibilities and authorised signatories.
Note: The compliance verification, as described in 3.1.3(b) of this GM,
applies to the manuals approved by EASA (aircraft flight manual, the
Airworthiness Limitations section of the Instructions for Continued
Airworthiness (ICA) and the Certification Maintenance Requirements
(CMR) document, where applicable). For the other ICA or other
maintenance instructions, the procedure required by 3.1.5(a)
provides a sufficient level of verification and does not require specific
compliance verification unless, in line with 21.A.90C, additional work
to demonstrate compliance is required. In this case, where additional
showing of compliance is required, points 21.A.91 to 21.A.109 apply
and then the independent checking function of the showings of
compliance as per 21.239(b) applies.
(b)
In accordance with points 21.A.6, 21.A.7 and, where applicable, 21.A.609,
ensuring that these documents are made available in accordance with point
21.A.7(b).
3.1.6 Operational Suitability Data (OSD)
(a)
Ensuring the preparation and update of all OSD in accordance with the
relevant CSs. For that purpose, the applicant should:
— establish the list of all the documents it produces to comply with
CS-MMEL or CS-GEN-MMEL, CS-FCD, CS-CCD, CS-SIMD and CS-MCSD, as
applicable;
— define its procedures and the organisation to produce and issue these
documents under the obligation of point 21.A.265(h); these procedures
should cover the aspects described in 3.1.5(a) above.
(b)
3.2
In accordance with points 21.A.6 and 21.A.7, ensuring that these documents
are provided to all affected operators and training organisations and all
involved authorities.
Continued effectiveness of the design assurance system. The organisation should
establish the means by which the continuing evaluation (system monitoring) of the design
assurance system will be performed in order to ensure that it remains effective.
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GM No. 2 to 21.A.239(a) Design assurance system for minor
changes to type design or minor repairs to products
ED Decision 2012/020/R
1.
Purpose
This GM outlines some basic principles and objectives in order to comply with 21.A.239(a) for
organisations designing only minor changes to type design or minor repairs to products.
2.
Design assurance system
The design assurance system should include the following:
— an organisational structure to:
— control the design
—
—
demonstrate compliance with applicable CS and environmental protection
requirements
—
independently check demonstrations of compliance
—
liaise with the Agency
—
continuously evaluate the design organisation
—
control sub-contractors
procedures and responsibilities associated with the functions listed above, taking
due account of Part 21 requirements applicable to design and approval of minor
changes to type design or minor repairs to products.
AMC 21.A.239(a)(3) Design assurance system – Independent system
monitoring
ED Decision 2012/020/R
The system monitoring function required by 21.A.239(a)(3) may be undertaken by the existing quality
assurance organisation when the design organisation is part of a larger organisation.
AMC 21.A.239(b) Design assurance system – Independent checking
function of the demonstration of compliance
ED Decision 2012/020/R
1.
The independent checking function of the demonstration of compliance should consist of the
verification by a person not creating the compliance data. Such person may work in conjunction
with the individuals who prepare compliance data.
2.
The verification should be shown by signing compliance documents, including test programmes
and data.
3.
For a product, there is normally only one compliance verification engineer nominated for each
relevant subject. A procedure should cover the non-availability of nominated persons and their
replacement when necessary.
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For STC cases, when compliance statement and associated documentation are produced by the
TC holder, and when these data are approved under the system of the authority of TC holder,
then the STC applicant does not need to provide, within its own DOA, the independent checking
function required in 21.A.239(b) for these data.
AMC-ELA No 1 to 21.A.239(b) Design assurance system –
Independent checking function
ED Decision 2019/003/R
The design assurance system (DAS) defines methods to ensure there is an independent verification of
the compliance demonstration on the basis of which the organisation submits compliance statements
and associated documentation to EASA.
Compliance verification therefore means the approval of all those compliance documents that are
necessary for the verification of compliance with the applicable type-certification basis, the applicable
operational suitability data certification basis and the environmental protection requirements, as
defined in the certification programme. This shall include all the relevant aspects that ultimately lead
to the showing of compliance, and therefore, for example, it may need to be extended to test
programmes or data analysis reports if the higher-level compliance report itself does not adequately
cover all the necessary levels of detail.
Compliance verification is provided by the approval of documented information by a person who did
not create the approved data, and who acts as a compliance verification engineer (CVE). Approval is
given after the completeness and technical accuracy of the report and the correctness of the derived
statement of compliance have been verified. The approval must be documented in such a way that
the date and the person who gives approval can be identified.
CVEs are nominated for specific scopes of responsibility. The structure of these scopes is defined by
the applicant, and it should follow a logical structure, commensurate with the type of product, such
as, for example, by disciplines (e.g. structures, flight, electrical system, etc.), by a set of CS
requirements (Subpart B, Subpart C, etc.), by a (set of) ATA chapters (ATA 27 Flight Controls, ATA 32
Landing Gear, ATA 51 Structures, etc.), or by any other appropriate logic. For the kind of product
addressed by this AMC, it is explicitly acceptable for the scope of the CVE to be broken down into only
a few different disciplines, commensurate with the kind of product.
Compliance verification as part of the DAS is the only task within the DOA in which the creation and
the CVE check of documents is mandatorily performed by different persons. It is acceptable for one
person to hold multiple CVE nominations. For small companies, it is acceptable for persons who hold
other functions, such as the CE, HDO and HOA, to also be nominated as design engineers and CVEs,
provided they have the proper competence.
AMC-ELA No 1 to 21.A.239(c) Design assurance system –
Acceptability of tasks performed by external parties
ED Decision 2019/003/R
The organisation is responsible for ensuring that the type design of the product complies with the
applicable type-certification basis, the applicable operational suitability data certification basis and
the environmental protection requirements. This includes the determination that components
designed by, or tasks performed by, external parties are acceptable. To discharge this responsibility,
the DO has to implement documented methods that ensure the compliance of the final product, and
that make use of these components or task results, prior to making the final declaration of compliance.
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One acceptable means to ensure this is whether the CVE(s) of the applicant conducts (conduct) the
verification of compliance, in line with the definitions of the DAS of the applicant. As the verification
of compliance remains with the applicant, no specific qualification measures are required other than
to pragmatically verify the capabilities of the external party, and to ensure that the required level of
detail is supplied to enable the work results to be adequately verified. The capability of an external
party should be verified if more complex activities are subcontracted.
If a DOA subcontracts the CVE function to an external party that conducts the task, but does not hold
its own DOA, then the same requirements for the qualification, nomination and documentation of
qualification and nomination apply to the person who is nominated as a CVE as are defined in the
design organisation handbook (DOH) of the contracting DOA. The availability of all the relevant
information for the subcontracted CVE to perform their duties is ensured by the applicant. The
relevant contract defines that when acting as a CVE, the external person acts on behalf of, and with
direct reporting to, the applicant’s head of airworthiness (HoA). The person who acts as a CVE is na